Title 49—Transportation--Volume 1
PART 238—PASSENGER EQUIPMENT SAFETY STANDARDS
§ 238.230   Safety appliances—new equipment.
(a) Applicability. This section applies to passenger equipment placed in service on or after January 1, 2007.
(b) Welded safety sppliances. Except as provided in this section, all passenger equipment placed into service on or after January 1, 2007, that is equipped with a safety appliance, required by the “manner of application” provisions in part 231 of this chapter to be attached by a mechanical fastener ( i.e. , bolts, rivets, or screws), shall have the safety appliance and any bracket or support necessary to attach the safety appliance to the piece of equipment mechanically fastened to the piece of equipment.
(1) Safety appliance brackets or supports considered part of the car body. Safety appliance brackets or supports will be considered part of the car body and will not be required to be mechanically fastened to the piece of passenger equipment if all of the following are met:
(i) The bracket or support is welded to a surface of the equipment's body that is at a minimum 3/16-inch sheet steel or structurally reinforced to provide the equivalent strength and rigidity of 3/16-inch sheet steel;
(ii) The area of the weld is sufficient to ensure a minimum weld strength, based on yield, of three times the strength of the number of SAE grade 2, 1/2 inch diameter bolts that would be required for each attachment;
(iii) Except for any access required for attachment of the safety appliance, the weld is continuous around the perimeter of the surface of the bracket or support;
(iv) The attachment is made with fillet welds at least 3/16-inch in size;
(v) The weld is designed for infinite fatigue life in the application that it will be placed;
(vi) The weld is performed in accordance with the welding process and the quality control procedures contained in the current American Welding Society (AWS) Standard, the Canadian Welding Bureau (CWB) Standard, or an equivalent nationally or internationally recognized welding standard;
(vii) The weld is performed by an individual possessing the qualifications to be certified under the current AWS Standard, CWB Standard, or any equivalent nationally or internationally recognized welding qualification standard;
(viii) The weld is inspected by an individual qualified to determine that all of the conditions identified in paragraph (b)(1)(i) through (b)(1)(vii) of this section are met prior to the equipment being placed in service; and
(ix) A written or electronic record of the inspection required in paragraph (b)(1)(viii) of this section shall be retained by the railroad operating the equipment and shall be provided to FRA upon request. At a minimum, this record shall include the date, time, location, identification of the person performing the inspection, and the qualifications of the person performing the inspection.
(2) Directly welded safety appliances. Passenger equipment that is equipped with a safety appliance that is directly attached to the equipment by welding ( i.e. , no mechanical fastening of any kind) may be placed in service only if the railroad meets the following:
(i) The railroad submits a written list to FRA that identifies each piece of new passenger equipment equipped with a welded safety appliance as described in paragraph (b)(2) of this section and provides a description of the specific safety appliance;
(ii) The railroad provides a detailed basis as to why the design of the vehicle or placement of the safety appliance requires that the safety appliance be directly welded to the equipment; and
(iii) The involved safety appliance(s) on such equipment are inspected and handled pursuant to the requirements contained in § 238.229(g) through (k).
(3) Other welded safety appliances and safety appliance brackets and supports. Except for safety appliance brackets and supports identified in paragraph (b)(1) of this section, safety appliance brackets and supports on passenger equipment shall not be welded to the car body unless the design of the equipment makes it impractical to mechanically fasten the safety appliance and it is impossible to meet the conditions for considering the bracket or support part of the car body contained in paragraph (b)(1) of this section. Prior to placing a piece of passenger equipment in service with a welded safety appliance bracket or support as described in this paragraph, the railroad shall submit documentation to FRA, for FRA's review and approval, containing all of the following information:
(i) Identification of the equipment by number, type, series, operating railroad, and other pertinent data;
(ii) Identification of the safety appliance bracket(s) or support(s) not mechanically fastened to the equipment and not considered part of the car body under paragraph (b)(1) of this section;
(iii) A detailed analysis describing the necessity to attach the safety appliance bracket or support to the equipment by a means other than mechanical fastening;
(iv) A detailed analysis describing the inability to make the bracket or support part of the car body as provided for in paragraph (b)(1) of this section; and
(v) A copy and description of the consensus or other appropriate industry standard used to ensure the effectiveness and strength of the attachment;
(c) Inspection and repair. Passenger equipment with a welded safety appliance or a welded safety appliance bracket or support will be considered defective and shall be handled in accordance with § 238.17(e) if any part or portion of the weld is defective as defined in § 238.229(d). When appropriate, civil penalties for improperly using or hauling a piece of equipment with a defective welded safety appliance or safety appliance bracket or support addressed in this section will be assessed pursuant to the penalty schedule on FRA's website at www.fra.dot.gov under the appropriate defect code contained therein.
(1) Any safety appliance bracket or support approved by FRA pursuant to paragraph (b)(3) of this section shall be inspected and handled in accordance with the requirements contained in § 238.229(g) through (k).
(2) Any repair to a safety appliance bracket or support considered to be part of the car body under paragraph (b)(1) of this section shall be conducted in accordance with APTA Standard SS-C&S-020-03—Standard for Passenger Rail Vehicle Structural Repair (September 2003), or an alternative procedure approved by FRA pursuant to § 238.21, and shall ensure that the repair meets the requirements contained in paragraphs (b)(1)(i) through (b)(1)(vii) of this section. The Director of the Federal Register approves incorporation by reference of the APTA Standard SS-C&S-020-03 (September 2003), “Standard for Passenger Rail Vehicle Structural Repair,” in this section in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. You may obtain a copy of the incorporated standard from the American Public Transportation Association, 1666 K Street, Washington, DC 20006. You may inspect a copy of the incorporated standard at the Federal Railroad Administration, Docket Clerk, 1200 New Jersey Avenue, SE., Washington, DC 20590 or at the National Archives and Records Administration (NARA). For information on the availability of this material at NARA, call 202-741-6030, or go to http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html.
(d) Passenger cars of special construction. A railroad or a railroad's recognized representative may submit a request for special approval of alternative compliance pursuant to § 238.21 relating to the safety appliance arrangements on any passenger car considered a car of special construction under § 231.18 of this chapter. Any such petition shall be in the form of an industry-wide standard and at a minimum shall:
(1) Identify the type(s) of car to which the standard would be applicable;
(2) As nearly as possible, based upon the design of the equipment, ensure that the standard provides for the same complement of handholds, sill steps, ladders, hand or parking brakes, running boards, and other safety appliances as are required for a piece of equipment of the nearest approximate type already identified in part 231 of this chapter;
(3) Comply with all statutory requirements relating to safety appliances contained at 49 U.S.C. 20301 and 20302;
(4) Specifically address the number, dimension, location, and manner of application of each safety appliance contained in the standard;
(5) Provide specific analysis regarding why and how the standard was developed and specifically discuss the need or benefit of the safety appliance arrangement contained in the standard;
(6) Include drawings, sketches, or other visual aids that provide detailed information relating to the design, location, placement, and attachment of the safety appliances; and
(7) Demonstrate the ergonomic suitability of the proposed arrangements in normal use.
(e) Civil penalties. Any industry standard approved pursuant to § 238.21 will be enforced against any person who violates any provision of the approved standard or causes the violation of any such provision. Civil penalties will be assessed under part 231 of this chapter by using the applicable defect code contained on FRA's website at www.fra.dot.gov.
§ 238.231   Brake system.
Except as otherwise provided in this section, on or after September 9, 1999 the following requirements apply to all passenger equipment and passenger trains.
(a) A passenger train's primary brake system shall be capable of stopping the train with a service application from its maximum authorized operating speed within the signal spacing existing on the track over which the train is operating.
(b) Where practicable, the design of passenger equipment ordered on or after September 8, 2000, or placed in service for the first time on or after September 9, 2002, shall not require an inspector to place himself or herself on, under, or between components of the equipment to observe brake actuation or release. Passenger equipment not designed in this manner shall be equipped and handled in accordance with one of the following:
(1) Equipped with piston travel indicators as defined in § 238.5 or devices of similar design and inspected pursuant to the requirements contained in § 238.313 (j); or
(2) Equipped with brake indicators as defined in § 238.5, designed so that the pressure sensor is placed in a location so that nothing may interfere with the air flow to brake cylinder and inspected pursuant to the requirements contained in § 238.313 (j).
(c) Passenger equipment shall be provided with an emergency brake application feature that produces an irretrievable stop, using a brake rate consistent with prevailing adhesion, passenger safety, and brake system thermal capacity. An emergency brake application shall be available at any time, and shall be initiated by an unintentional parting of the train.
(d) A passenger train brake system shall respond as intended to signals from a train brake control line or lines. Control lines shall be designed so that failure or breakage of a control line will cause the brakes to apply or will result in a default to control lines that meet this requirement.
(e) Introduction of alcohol or other chemicals into the air brake system of passenger equipment is prohibited.
(f) The operating railroad shall require that the design and operation of the brake system results in wheels that are free of condemnable cracks.
(g) Disc brakes shall be designed and operated to produce a surface temperature no greater than the safe operating temperature recommended by the disc manufacturer and verified by testing or previous service.
(h) Hand brakes and parking brakes. (1) Except for a locomotive that is ordered before September 8, 2000 or placed in service for the first time before September 9, 2002, and except for MU locomotives, all locomotives shall be equipped with a hand or parking brake that can:
(i) Be applied or activated by hand;
(ii) Be released by hand; and
(iii) Hold the loaded unit on the maximum grade anticipated by the operating railroad.
(2) Except for a private car and locomotives addressed in paragraph (h)(1) of this section, all other passenger equipment, including MU locomotives, shall be equipped with a hand brake that meets the requirements for hand brakes contained in part 231 of this chapter and that can:
(i) Be applied or activated by hand;
(ii) Be released by hand; and
(iii) Hold the loaded unit on the maximum grade anticipated by the operating railroad.
(3) Except for MU locomotives, on locomotives so equipped, the hand or parking brake as well as its parts and connections shall be inspected, and necessary repairs made, as often as service requires but no less frequently than every 368 days. The date of the last inspection shall be either entered on Form FRA F 6180-49A, suitably stenciled or tagged on the equipment, or maintained electronically provided FRA has access to the record upon request.
(4) A train's air brake shall not be depended upon to hold unattended equipment (including a locomotive, a car, or a train whether or not locomotive is attached). For purposes of this section, “unattended equipment” means equipment left standing and unmanned in such a manner that the brake system of the equipment cannot be readily controlled by a qualified person. Unattended equipment shall be secured in accordance with the following requirements:
(i) A sufficient number of hand or parking brakes shall be applied to hold the equipment. Railroads shall develop and implement a process or procedure to verify that the applied hand or parking brakes will sufficiently hold the equipment with the air brakes released;
(ii) Except for equipment connected to a source of compressed air (e.g., locomotive or ground air source), prior to leaving equipment unattended, the brake pipe shall be reduced to zero at a rate that is no less than a service rate reduction;
(iii) At a minimum, the hand or parking brake shall be fully applied on at least one locomotive or vehicle in an unattended locomotive consist or train;
(iv) A railroad shall develop, adopt, and comply with procedures for securing any unattended locomotive required to have a hand or parking brake applied when the locomotive is not equipped with an operative hand or parking brake;
(v) A railroad shall adopt and comply with instructions to address throttle position, status of the reverser lever, position of the generator field switch, status of the independent brakes, position of the isolation switch, and position of the automatic brake valve, or the functional equivalent of these items, on all unattended locomotives. The procedures and instruction shall take into account weather conditions as they relate to throttle position and reverser handle; and
(vi) Any hand or parking brakes applied to hold unattended equipment shall not be released until it is known that the air brake system is properly charged.
(i) Passenger cars shall be equipped with a means to apply the emergency brake that is accessible to passengers and located in the vestibule or passenger compartment. The emergency brake shall be clearly identified and marked.
(j) Locomotives ordered after September 8, 2000, or placed in service for the first time after September 9, 2002, that are equipped with blended brakes shall be designed so that:
(1) The blending of friction and dynamic brake to obtain the correct retarding force is automatic;
(2) Loss of power or failure of the dynamic brake does not result in exceeding the allowable stopping distance;
(3) The friction brake alone is adequate to safely stop the train under all operating conditions; and
(4) Operation of the friction brake alone does not result in thermal damage to wheels or disc rotor surface temperatures exceeding the manufacturer's recommendation.
(k) For new designs of braking systems, the design process shall include computer modeling or dynamometer simulation of train braking that shows compliance with paragraphs (f) and (g) of this section over the range of equipment operating speeds. A new simulation is required prior to implementing a change in operating parameters.
(l) Locomotives ordered on or after September 8, 2000 or placed in service for the first time on or after September 9, 2002, shall be equipped with effective air coolers or dryers that provide air to the main reservoir with a dew point at least 10 degrees F. below ambient temperature.
(m) When a passenger train is operated in either direct or graduated release—
(1) All the cars in the train consist shall be set up in the same operating mode or
(2) Up to two cars may be operated in direct release mode when the rest of the cars in the train are operated in graduated release mode, provided that the cars operated in direct release mode are hauled at the rear of the train consist.
(n) Before adjusting piston travel or working on brake rigging, the cutout cock in the brake pipe branch must be closed and the air reservoirs must be voided of all compressed air. When cutout cocks are provided in brake cylinder pipes, these cutout cocks may be closed, and air reservoirs need not be voided of all compressed air.
(o) All passenger trains to which this part applies shall comply with the requirements covering the use of two-way end-of-train devices contained in part 232 of this chapter.
§ 238.233   Interior fittings and surfaces.
(a) Each seat in a passenger car shall—
(1) Be securely fastened to the car body so as to withstand an individually applied acceleration of 4g acting in the lateral direction and 4g acting in the upward vertical direction on the deadweight of the seat or seats, if held in tandem; and
(2) Have an attachment to the car body of an ultimate strength capable of resisting simultaneously:
(i) The longitudinal inertial force of 8g acting on the mass of the seat; and
(ii) The load associated with the impact into the seatback of an unrestrained 95th-percentile adult male initially seated behind the seat, when the floor to which the seat is attached decelerates with a triangular crash pulse having a peak of 8g and a duration of 250 milliseconds.
(b) Overhead storage racks in a passenger car shall provide longitudinal and lateral restraint for stowed articles. Overhead storage racks shall be attached to the car body with sufficient strength to resist loads due to the following individually applied accelerations acting on the mass of the luggage stowed as determined by the railroad:
(1) Longitudinal: 8g;
(2) Vertical: 4g; and
(3) Lateral: 4g.
(c) Other interior fittings within a passenger car shall be attached to the car body with sufficient strength to withstand the following individually applied accelerations acting on the mass of the fitting:
(1) Longitudinal: 8g;
(2) Vertical: 4g; and
(3) Lateral: 4g.
(d) To the extent possible, all interior fittings in a passenger car, except seats, shall be recessed or flush-mounted.
(e) Sharp edges and corners in a locomotive cab and a passenger car shall be either avoided or padded to mitigate the consequences of an impact with such surfaces.
(f) Locomotives required to be constructed in accordance with subpart D of part 229 of this chapter shall have cab seat attachment in compliance with § 229.206 of this chapter, in lieu of the following requirements of this paragraph. Each seat provided for a crewmember regularly assigned to occupy the cab of a locomotive and each floor-mounted seat in the cab shall be secured to the car body with an attachment having an ultimate strength capable of withstanding the loads due to the following individually applied accelerations acting on the combined mass of the seat and a 95th-percentile adult male occupying it:
(1) Longitudinal: 8g;
(2) Lateral: 4g; and
(3) Vertical: 4g.
(g) If, for purposes of showing compliance with the requirements of this section, the strength of a seat attachment is to be demonstrated through sled testing, the seat structure and seat attachment to the sled that is used in such testing must be representative of the actual seat structure in, and seat attachment to, the rail vehicle subject to the requirements of this section. If the attachment strength of any other interior fitting is to be demonstrated through sled testing, for purposes of showing compliance with the requirements of this section, such testing shall be conducted in a similar manner.
§ 238.235   [Reserved]
§ 238.237   Automated monitoring.
(a) Except as further specified in this paragraph, on or after November 8, 1999 a working alerter or deadman control shall be provided in the controlling locomotive of each passenger train operating in other than cab signal, automatic train control, or automatic train stop territory. If the controlling locomotive is ordered on or after September 8, 2000, or placed into service for the first time on or after September 9, 2002, a working alerter shall be provided.
(b) Alerter or deadman control timing shall be set by the operating railroad taking into consideration maximum train speed and capabilities of the signal system. The railroad shall document the basis for setting alerter or deadman control timing and make this documentation available to FRA upon request.
(c) If the train operator does not respond to the alerter or maintain proper contact with the deadman control, it shall initiate a penalty brake application.
(d) The following procedures apply if the alerter or deadman control fails en route and causes the locomotive to be in non-compliance with paragraph (a):
(1)(i) A second person qualified on the signal system and trained to apply the emergency brake shall be stationed in the locomotive cab; or
(ii) The engineer shall be in constant communication with a second crewmember until the train reaches the next terminal.
(2)(i) A tag shall be prominently displayed in the locomotive cab to indicate that the alerter or deadman control is defective, until such device is repaired; and
(ii) When the train reaches its next terminal or the locomotive undergoes its next calendar day inspection, whichever occurs first, the alerter or deadman control shall be repaired or the locomotive shall be removed as the controlling locomotive in the train.
§ 238.301   Scope.
(a) This subpart contains requirements pertaining to the inspection, testing, and maintenance of passenger equipment operating at speeds not exceeding 125 miles per hour. The requirements in this subpart address the inspection, testing, and maintenance of the brake system as well as other mechanical and electrical components covered by this part.
(b) Beginning on January 1, 2002, the requirements contained in this subpart shall apply to railroads operating Tier I passenger equipment covered by this part. A railroad may request earlier application of the requirements contained in this subpart upon written notification to FRA's Associate Administrator for Safety as provided in § 238.1(c).
(c) Paragraphs (b) and (c) of § 238.309 shall apply beginning September 9, 1999.
§ 238.303   Exterior calendar day mechanical inspection of passenger equipment.
(a) General. (1) Except as provided in paragraph (f) of this section, each passenger car and each unpowered vehicle used in a passenger train shall receive an exterior mechanical inspection at least once each calendar day that the equipment is placed in service.
(2) Except as provided in paragraph (f) of this section, all passenger equipment shall be inspected as required in this section at least once each calendar day that the equipment is placed in service to ensure that the equipment conforms with the requirement contained in paragraph (e)(15) of this section.
(3) If a passenger care is also classified as a locomotive under part 229 of this chapter, the passenger car shall also receive a daily inspection pursuant to the requirements of § 229.21 of this chapter.
(b) Each passenger car and each unpowered vehicle added to a passenger train shall receive an exterior calendar day mechanical inspection in accordance with the following:
(1) Except as provided in paragraph (b)(2) of this section, each passenger car and each unpowered vehicle added to a passenger train shall receive an exterior calendar day mechanical inspection at the time it is added to the train unless notice is provided to the train crew that an exterior mechanical inspection was performed on the car or vehicle on the last day it was used in passenger service. The notice required by this section shall contain the date, time, and location of the last exterior mechanical inspection;
(2) Each express car, freight car, and each unit of intermodal equipment ( e.g., RoadRailers ®) added to a passenger train shall receive an exterior calendar day mechanical inspection at the time it is added to the train, unless notice is provided to the train crew that an exterior mechanical inspection was performed on the car within the previous calendar day. The notice required by this section shall contain the date, time, and location of the last exterior mechanical inspection.
(c) The exterior calendar day mechanical inspection shall be performed by a qualified maintenance person.
(d) The exterior calendar day mechanical inspection required by this section shall be conducted to the extent possible without uncoupling the trainset and without placing the equipment over a pit or on an elevated track.
(e) As part of the exterior calendar day mechanical inspection, the railroad shall verify conformity with the following conditions, and nonconformity with any such condition renders the passenger car or unpowered vehicle used in a passenger train defective whenever discovered in service:
(1) Products of combustion are released entirely outside the cab and other compartments.
(2) Each battery container is vented and each battery is kept from gassing excessively.
(3) Each coupler is in the following condition:
(i) Sidewall or pin bearing bosses and the pulling face of the knuckles are not broken or cracked;
(ii) The coupler assembly is equipped with anti-creep protection;
(iii) The coupler carrier is not broken or cracked; and
(iv) The yoke is not broken or cracked.
(4) A device is provided under the lower end of all drawbar pins and articulated connection pins to prevent the pin from falling out of place in case of breakage.
(5) The suspension system, including the spring rigging, is in the following condition:
(i) Protective construction or safety hangers are provided to prevent spring planks, spring seats, or bolsters from dropping to the track structure in event of a hanger or spring failure;
(ii) The top (long) leaf or any of the other three leaves of the elliptical spring is not broken, except when a spring is part of a nest of three or more springs and none of the other springs in the nest has its top leaf or any of the other three leaves broken;
(iii) The outer coil spring or saddle is not broken;
(iv) The equalizers, hangers, bolts, gibs, or pins are not cracked or broken;
(v) The coil spring is not fully compressed when the car is at rest;
(vi) The shock absorber is not broken or leaking oil or other fluid; and
(vii) Each air bag or other pneumatic suspension system component inflates or deflates, as applicable, correctly and otherwise operates as intended.
(6) Each truck is in the following condition:
(i) Each tie bar is not loose;
(ii) Each motor suspension lug, equalizer, hanger, gib, or pin is not cracked or broken; and
(iii) The truck frame is not broken and is not cracked in a stress area that may affect its structural integrity.
(7) Each side bearing is in the following condition:
(i) Each friction side bearing with springs designed to carry weight does not have more than 25 percent of the springs in any one nest broken;
(ii) Each friction side bearing does not run in contact unless designed to operate in that manner; and
(iii) The maximum clearance of each side bearing does not exceed the manufacturer's recommendation.
(8) Each wheel does not have any of the following conditions:
(i) A single flat spot that is 2 1/2 inches or more in length, or two adjoining spots that are each two or more inches in length;
(ii) A gouge or chip in the flange that is more than 1 1/2 inches in length and 1/2 inch in width;
(iii) A broken rim, if the tread, measured from the flange at a point 5/8 of an inch above the tread, is less than 3 3/4 inches in width;
(iv) A shelled-out spot 2 1/2 inches or more in length, or two adjoining spots that are each two or more inches in length;
(v) A seam running lengthwise that is within 3 3/4 inches of the flange;
(vi) A flange worn to a 7/8 inch thickness or less, gauged at a point 3/8 of an inch above the tread;
(vii) A tread worn hollow 5/16 of an inch or more;
(viii) A flange height of 1 1/2 inches or more measured from the tread to the top of the flange;
(ix) A rim less than 1 inch thick;
(x) Except as provided in paragraph (e)(8)(iii) of this section, a crack or break in the flange, tread, rim, plate, or hub;
(xi) A loose wheel; or
(xii) A weld.
(9) No part or appliance of a passenger coach, except the wheels, is less than 2 1/2 inches above the top of the rail.
(10) Each unguarded, noncurrent-carrying metal part subject to becoming charged is grounded or thoroughly insulated.
(11) Each jumper and cable connection is in the following condition:
(i) Each jumpers and cable connection between coaches, between locomotives, or between a locomotive and a coach is located and guarded in a manner that provides sufficient vertical clearance. Jumpers and cable connections may not hang with one end free;
(ii) The insulation is not broken or badly chafed;
(iii) No plug, receptacle, or terminal is broken; and
(iv) No strand of wire is broken or protruding.
(12) Each door and cover plate guarding high voltage equipment is marked “Danger—High Voltage” or with the word “Danger” and the normal voltage carried by the parts so protected.
(13) Each buffer plate is in place.
(14) Each diaphragm, if any, is in place and properly aligned.
(15) Each secondary braking system is in operating mode and does not have any known defective condition which prevents its proper operation. If the dynamic brakes on a locomotive are found not to be in operating mode or are known to have a defective condition which prevents their proper operation at the time that the exterior mechanical inspection is performed or at any other time while the locomotive is in service, the following requirements shall be met in order to continue the locomotive in service:
(i) MU locomotives equipped with dynamic brakes found not to be in operating mode or containing a defective condition which prevents the proper operation of the dynamic brakes shall be handled in accordance with the following requirements:
(A) A tag bearing the words “inoperative dynamic brakes” shall be securely displayed in a conspicuous location in the cab of the locomotive and contain the locomotive number, the date and location where the condition was discovered, and the signature of the individual who discovered the condition;
(B) The locomotive engineer shall be informed in writing that the dynamic brakes on the locomotive are inoperative at the location where the locomotive engineer first takes charge of the train; and
(C) The inoperative or defective dynamic brakes shall be repaired or removed from service by or at the locomotive's next exterior calendar day mechanical inspection.
(ii) Conventional locomotives equipped with dynamic brakes found not to be in operating mode or containing a defective condition which prevents the proper operation of the dynamic brakes shall be handled in accordance with the following:
(A) A tag bearing the words “inoperative dynamic brakes” shall be securely displayed in a conspicuous location in the cab of the locomotive and contain the locomotive number, the date and location where the condition was discovered, and the signature of the person discovering the condition;
(B) The locomotive engineer shall be informed in writing that the dynamic brakes on the locomotive are inoperative at the location where the locomotive engineer first takes charge of the train; and
(C) The inoperative or defective dynamic brakes shall be repaired within 3 calendar days of being found in defective condition or at the locomotive's next periodic inspection pursuant to § 229.23 of this chapter, whichever occurs first.
(16) All roller bearings do not have any of the following conditions:
(i) A sign of having been overheated as evidenced by discoloration or other telltale sign of overheating, such as damage to the seal or distortion of any bearing component;
(ii) A loose or missing cap screw;
(iii) A broken, missing, or improperly applied cap screw lock; or
(iv) A seal that is loose or damaged or permits leakage of lubricant in clearly formed droplets.
(17) Each air compressor, on passenger equipment so equipped, shall be in effective and operative condition. MU passenger equipment found with an inoperative or ineffective air compressor at the time of its exterior calendar day mechanical inspection may remain in passenger service until the equipment's next exterior calendar day mechanical inspection where it must be repaired or removed from passenger service; provided, all of the following requirements are met:
(i) The equipment has an inherent redundancy of air compressors, due to either the make-up of the train consist or the design of the equipment;
(ii) The railroad demonstrates through verifiable data, analysis, or actual testing that the safety and integrity of a train is not compromised in any manner by the inoperative or ineffective air compressor. The data, analysis, or test shall establish the maximum number of air compressors that may be inoperative based on size of the train consist, the type of passenger equipment in the train, and the number of service and emergency brake applications typically expected in the run profile for the involved train;
(iii) The involved train does not exceed the maximum number of inoperative or ineffective air compressors established in accordance with paragraph (e)(17)(ii) of this section;
(iv) A qualified maintenance person determines and verifies that the inoperative or ineffective air compressor does not compromise the safety or integrity of the train and that it is safe to move the equipment in passenger service;
(v) The train crew is informed in writing of the number of units in the train consist with inoperative or ineffective air compressors at the location where the train crew first takes charge of the train;
(vi) A record is maintained of the inoperative or ineffective air compressor pursuant to the requirements contained in § 238.17(c)(4); and
(vii) Prior to operating equipment under the provisions contained in this paragraph, the railroad shall provide in writing to FRA's Associate Administrator for Safety the maximum number of inoperative or ineffective air compressors identified in accordance with paragraph (e)(17)(ii) of this section.
(viii) The data, analysis, or testing developed and conducted under paragraph (e)(17)(ii) of this section shall be made available to FRA upon request. FRA's Associate Administrator for Safety may revoke a railroad's ability to utilize the flexibility provided in this paragraph if the railroad fails to comply with the maximum limits established under paragraph (e)(17)(ii) or if such maximum limits are not supported by credible data or do not provide adequate safety assurances.
(18) All rescue-access-related exterior markings, signage, and instructions required by §§ 238.112 and 238.114 shall be in place and, as applicable, conspicuous or legible, or both.
(i) Except as provided in paragraphs (e)(18)(ii) and (iii) of this section, passenger equipment that has any required rescue-access-related exterior marking, signage, or instruction that is missing, illegible, or inconspicuous may remain in passenger service until no later than the equipment's fourth exterior calendar day mechanical inspection or next periodic mechanical inspection required under § 238.307, whichever occurs first, after the noncomplying condition is discovered, where the car shall be repaired or removed from service.
(ii) A passenger car having more than 50 percent of the windows on a side of a level of the car designated and properly marked for rescue access that has any required rescue-access-related exterior marking, signage, or instruction that is missing, illegible, or inconspicuous on any of the other windows on that side and level of the car may remain in passenger service until no later than the car's next periodic mechanical inspection required under § 238.307, where the car shall be repaired or removed from service.
(iii) A passenger car that is a sleeping car that has more than two consecutive windows with any required rescue access-related exterior marking, signage, or instruction at or near their locations that is missing, illegible, or inconspicuous may remain in passenger service until no later than the car's next periodic mechanical inspection required under § 238.307, where the car shall be repaired or removed from service.
(iv) A record shall be maintained of any noncomplying marking, signage, or instruction described in paragraphs (e)(18)(i) through (iii) of this section that contains the date and time that the defective condition was first discovered. This record shall be retained until all necessary repairs are completed.
(f) Exception. A long-distance intercity passenger train that misses a scheduled exterior calendar day mechanical inspection due to a delay en route may continue in service to the location where the inspection was scheduled to be performed. At that point, an exterior calendar day mechanical inspection shall be performed prior to returning the equipment to service. This flexibility applies only to the exterior mechanical safety inspections required by this section, and does not relieve the railroad of the responsibility to perform a calendar day inspection on a unit classified as a “locomotive” under part 229 of this chapter as required by § 229.21 of this chapter.
(g) Records. A record shall be maintained of each exterior calendar day mechanical inspection performed.
(1) This record may be maintained in writing or electronically provided FRA has access to the record upon request.
(2) The written or electronic record must contain the following information:
(i) The identification number of the unit;
(ii) The place, date, and time of the inspection;
(iii) Any non-complying conditions found; and
(iv) The signature or electronic identification of the inspector.
(3) This record may be part of a single master report covering an entire group of cars and equipment.
(4) This record shall be maintained at the place where the inspection is conducted or at one central location and shall be retained for at least 92 days.
(h) Cars requiring a single car test in accordance with § 238.311 that are being moved in service to a location where the single car test can be performed shall have the single car test completed prior to, or as a part of, the exterior calendar day mechanical inspection.
§ 238.305   Interior calendar day mechanical inspection of passenger cars.
(a) Except as provided in paragraph (e) of this section, each passenger car shall receive an interior mechanical inspection at least once each calendar day that it is placed in service.
(b) The interior calendar day mechanical inspection shall be performed by a qualified person or a qualified maintenance person.
(c) As part of the interior calendar day mechanical inspection, the railroad shall verify conformity with the following conditions, and nonconformity with any such condition renders the car defective when discovered in service, except as provided in paragraphs (c)(8) through (13) and paragraph (d) of this section.
(1) All fan openings, exposed gears and pinions, exposed moving parts of mechanisms, pipes carrying hot gases and high-voltage equipment, switches, circuit breakers, contactors, relays, grid resistors, and fuses are installed in non-hazardous locations or equipped with guards to prevent personal injury.
(2) Floors of passageways and compartments are free from oil, water, waste, or any obstruction that creates a slipping, tripping, or fire hazard, and floors are properly treated to provide secure footing.
(3) All D rings, pull handles, or other means to access manual door releases are in place based on a visual inspection.
(4) All emergency equipment, including a fire extinguisher, pry bar, auxiliary portable lighting, and first aid kits, as applicable, are in place.
(5) The words “Emergency Brake Valve” are legibly stenciled or marked near each brake pipe valve or shown on an adjacent badge plate.
(6) All doors and cover plates guarding high voltage equipment are marked “Danger—High Voltage” or with the word “Danger” and the normal voltage carried by the parts so protected.
(7) All safety-related signage is in place and legible.
(8) All trap doors safely operate and securely latch in place in both the up and down position. A non-complying car may continue in passenger service pursuant to paragraph (d) of this section, if the trap door can be secured by locking out the door for which it is used.
(9) All vestibule steps are illuminated. A non-complying car may continue in passenger service pursuant to paragraph (d) of this section, if the car will be used solely in high-platform service.
(10) All end doors and side doors operate safely and as intended. A noncomplying car may continue in passenger service pursuant to paragraph (d) of this section—
(i) If at least one operative and accessible door is available on each side of the car;
(ii) The train crew is provided written notification of the noncomplying condition; and
(iii) A notice is prominently displayed directly on the defective door indicating that the door is defective.
(11) Low-location emergency exit path markings required by § 238.127 are in place and conspicuous.
(12) On passenger cars so equipped, public address and intercom systems shall be operative and function as intended. A passenger car with an inoperative or nonfunctioning public address or intercom system may remain in passenger service until no later than the car's fourth interior calendar day mechanical inspection or next periodic mechanical inspection required under § 238.307, whichever occurs first, or for a passenger car used in long-distance intercity train service until the eighth interior calendar day mechanical inspection or next periodic mechanical inspection required under § 238.307, whichever occurs first, after the noncomplying condition is discovered, where it shall be repaired or removed from service; provided, the train crew is given written notification of the noncomplying condition, and all of the requirements contained in paragraph (d)(3) of this section are met.
(13) Removable panels and removable windows in vestibule doors and in other interior doors used for passage through a passenger car are properly in place and secured, based on a visual inspection. A noncomplying passenger car may remain in passenger service until no later than the car's fourth interior calendar day mechanical inspection or next periodic mechanical inspection required under § 238.307, whichever occurs first, or for a passenger car used in long-distance intercity train service until the eighth interior calendar day mechanical inspection or next periodic mechanical inspection required under § 238.307, whichever occurs first, after the noncomplying condition is discovered, where it shall be repaired or removed from service; provided—
(i) The railroad has developed and follows written procedures for mitigating the hazard(s) caused by the noncomplying condition. The railroad's procedures shall include consideration of the type of door in which the removable panel or removable window is located, the manner in which the door is normally opened, and the risk of personal injury resulting from a missing, broken, or improperly secured removable panel or removable window; and
(ii) The train crew is provided written notification of the noncomplying condition.
(d) Any passenger car found not to be in compliance with the requirements contained in paragraphs (c)(5) through (11) of this section at the time of its interior calendar day mechanical inspection may remain in passenger service until the car's next interior calendar day mechanical inspection, where it must be repaired or removed from passenger service; provided, all of the specific conditions contained in paragraphs (c)(8) through (10) of this section are met and all of the following requirements are met:
(1) A qualified person or a qualified maintenance person determines that the repairs necessary to bring the car into compliance cannot be performed at the time that the current day's interior mechanical inspection is conducted;
(2) A qualified person or a qualified maintenance person determines that it is safe to move the equipment in passenger service; and
(3) A record is maintained of the non-complying condition with the date and time that the condition was first discovered.
(e) A long-distance intercity passenger train that misses a scheduled calendar day interior mechanical inspection due to a delay en route may continue in service to the location where the inspection was scheduled to be performed. At that point, an interior calendar day mechanical inspection shall be performed prior to returning the equipment to service.
(f) Records. A record shall be maintained of each interior calendar day mechanical inspection performed.
(1) This record may be maintained in writing or electronically provided FRA has access to the record upon request.
(2) The written or electronic record must contain the following information:
(i) The identification number of the unit;
(ii) The place, date, and time of the inspection;
(iii) Any non-complying conditions found; and
(iv) The signature or electronic identification of the inspector.
(3) This record may be part of a single master report covering an entire group of cars and equipment.
(4) This record shall be maintained at the place where the inspection is conducted or at one central location and shall be retained for at least 92 days.
§ 238.307   Periodic mechanical inspection of passenger cars and unpowered vehicles used in passenger trains.
(a) General. (1) Railroads shall conduct periodic mechanical inspections of all passenger cars and all unpowered vehicles used in a passenger train as required by this section or as warranted and justified by data developed pursuant to paragraph (a)(2) of this section. A periodic inspection conducted under part 229 of this chapter satisfies the requirement of this section with respect to the features inspected.
(2) A railroad may, upon written notification to FRA's Associate Administrator for Safety, adopt and comply with alternative periodic mechanical inspection intervals for specific components or equipment in lieu of the requirements of this section. Any alternative interval must be based upon a documented reliability assessment conducted under a system safety plan subject to periodic peer audit. (See Appendix E to this part for a discussion of the general principles of reliability-based maintenance programs.) The periodic inspection intervals provided in this section may be changed only when justified by accumulated, verifiable data that provides a high level of confidence that the component(s) will not fail in a manner resulting in harm to persons. FRA may monitor and review a railroad's implementation and compliance with any alternative interval adopted. FRA's Associate Administrator for Safety may prohibit or revoke a railroad's ability to utilize an alternative inspection interval if FRA determines that the adopted interval is not supported by credible data or does not provide adequate safety assurances. Such a determination will be made in writing and will state the basis for such action.
(b) Each periodic mechanical inspection required by this section shall be performed by a qualified maintenance person.
(c) The periodic mechanical inspection shall specifically include the following interior and exterior mechanical components, which shall be inspected not less frequently than every 184 days. At a minimum, this inspection shall determine that:
(1) Seats and seat attachments are not broken or loose. If a car is found with a seat that is not in compliance with this requirement while being used between periodic mechanical inspections, the equipment may continue to be used in passenger service until the performance of an interior calendar day mechanical inspection pursuant to § 238.305 on the day following the discovery of the defective condition provided the seat is rendered unuseable, a notice is prominently displayed on the seat, and a record is maintained with the date and time that the non-complying condition was discovered.
(2) Luggage racks are not broken or loose.
(3) All beds and bunks are not broken or loose, and all restraints or safety latches and straps are in place and function as intended.
(4)(i) A representative sample of the following emergency systems properly operate:
(A) Door removable panels, removable windows, manual override devices, and retention mechanisms, as applicable, in accordance with § 238.112; and
(B) Emergency window exits, in accordance with § 238.113.
(ii) This portion of the periodic mechanical inspection may be conducted independently of the other requirements in this paragraph (c); and
(iii) Each railroad shall retain records of the inspection, testing, and maintenance of the emergency window exits for two calendar years after the end of the calendar year to which they relate.
(5) With regard to the following emergency systems:
(i) Emergency lighting systems required under § 238.115 are in place and operational; and
(ii) Low-location emergency exit path marking systems required under § 238.127 are operational.
(6) With regard to switches:
(i) All hand-operated switches carrying currents with a potential of more than 150 volts that may be operated while under load are covered and are operative from the outside of the cover;
(ii) A means is provided to display whether the switches are open or closed; and
(iii) Switches not designed to be operated safely while under load are legibly marked with the voltage carried and the words “must not be operated under load”.
(7) Each coupler is in the following condition:
(i) The distance between the guard arm and the knuckle nose is not more than 5 1/8 inches on standard type couplers (MCB contour 1904), or not more than 5 5/16 inches on D&E couplers;
(ii) The free slack in the coupler or drawbar not absorbed by friction devices or draft gears is not more than 1/2 inch; and
(iii) The draft gear is not broken, to the extent possible without dropping cover plates.
(8) All trucks are equipped with a device or securing arrangement to prevent the truck and car body from separating in case of derailment.
(9) All center castings on trucks are not cracked or broken, to the extent possible without jacking the car and rolling out the trucks. However, an extensive inspection of all center castings shall be conducted by jacking the equipment and rolling out the trucks at each COT&S cycle provided in § 238.309 for the equipment.
(10) All mechanical systems and components of the equipment are free of all the following general conditions that endanger the safety of the crew, passengers, or equipment:
(i) A continuous accumulation of oil or grease;
(ii) Improper functioning of a component;
(iii) A crack, break, excessive wear, structural defect, or weakness of a component;
(iv) A leak;
(v) Use of a component or system under a condition that exceeds that for which the component or system is designed to operate; and
(vi) Insecure attachment of a component.
(11) All of the items identified in the exterior calendar day mechanical inspection contained at § 238.303 are in conformity with the conditions prescribed in that section.
(12) All of the items identified in the interior calendar day mechanical inspection contained at § 238.305 are in conformity with the conditions prescribed in that section.
(13) The hand or parking brake shall be applied and released to determine that it functions as intended.
(d) At an interval not to exceed 368 days, the periodic mechanical inspection shall specifically include inspection of the following:
(1) Manual door releases, to determine that all manual door releases operate as intended;
(2) The hand or parking brake as well as its parts and connections, to determine that they are in proper condition and operate as intended. The date of the last inspection shall be either entered on Form FRA F 6180-49A, suitably stenciled or tagged on the equipment, or maintained electronically provided FRA has access to the record upon request; and
(3) Emergency roof access markings and instructions required under § 238.123(e), to determine that they are in place and, as applicable, conspicuous or legible, or both.
(e) Records. (1) A record shall be maintained of each periodic mechanical inspection required to be performed by this section. This record shall be maintained in writing or electronically, provided FRA has access to the record upon request. The record shall be maintained either in the railroad's files, the cab of the locomotive, or a designated location in the passenger car. Except as provided in paragraph (c)(4) of this section, the record shall be retained until the next periodic mechanical inspection of the same type is performed and shall contain the following information:
(i) The date of the inspection;
(ii) The location where the inspection was performed;
(iii) The signature or electronic identification of the inspector; and
(iv) The signature or electronic identification of the inspector's supervisor.
(2) Detailed documentation of any reliability assessments depended upon for implementing an alternative inspection interval under paragraph (a)(2) of this section, including underlying data, shall be retained during the period that the alternative inspection interval is in effect. Data documenting inspections, tests, component replacement and renewals, and failures shall be retained for not less than three (3) inspection intervals.
(f) Nonconformity with any of the conditions set forth in this section renders the car or vehicle defective whenever discovered in service.
§ 238.309   Periodic brake equipment maintenance.
(a) General. (1) This section contains the minimum intervals at which the brake equipment on various types of passenger equipment shall be periodically cleaned, repaired, and tested. This maintenance procedure requires that all of the equipment's brake system pneumatic components that contain moving parts and are sealed against air leaks be removed from the equipment, disassembled, cleaned, and lubricated and that the parts that can deteriorate with age be replaced.
(2) A railroad may petition FRA's Associate Administrator for Safety to approve alternative maintenance procedures providing equivalent safety, in lieu of the requirements of this section. The petition shall be filed as provided in § 238.21.
(b) DMU and MU locomotives. The brake equipment and brake cylinders of each DMU or MU locomotive shall be cleaned, repaired, and tested, and the filtering devices or dirt collectors located in the main reservoir supply line to the air brake system cleaned, repaired, or replaced at intervals in accordance with the following schedule:
(1) Every 736 days if the DMU or MU locomotive is part of a fleet that is not 100 percent equipped with air dryers;
(2) Every 1,104 days if the DMU or MU locomotive is part of a fleet that is 100 percent equipped with air dryers and is equipped with PS-68, 26-C, 26-L, PS-90, CS-1, RT-2, RT-5A, GRB-1, CS-2, or 26-R brake systems. (This listing of brake system types is intended to subsume all brake systems using 26 type, ABD, or ABDW control valves and PS68, PS-90, 26B-1, 26C, 26CE, 26-B1, 30CDW, or 30ECDW engineer's brake valves.);
(3) Every 1,840 days if the DMU or MU locomotive is part of a fleet that is 100 percent equipped with air dryers and is equipped with KB-HL1, KB-HS1, or KBCT1; and,
(4) Every 736 days for all other DMU or MU locomotives.
(c) Conventional locomotives. The brake equipment of each conventional locomotive shall be cleaned, repaired, and tested in accordance with the schedule provided in § 229.29 of this chapter.
(d) Passenger coaches and other unpowered vehicles. The brake equipment on each passenger coach and each unpowered vehicle used in a passenger train shall be cleaned, repaired, and tested at intervals in accordance with following schedule:
(1) Every 2,208 days for a coach or vehicle equipped with an AB-type brake system.
(2) Every 1,476 days for a coach or vehicle equipped with a 26-C or equivalent brake system; and
(3) Every 1,104 days for a coach or vehicle equipped with other than an AB, ABD, ABDX, 26-C, or equivalent brake system.
(e) Cab cars. The brake equipment of each cab car shall be cleaned, repaired, and tested at intervals in accordance with the following schedule:
(1) Every 1,840 days for locomotives equipped with CCB-1, CCB-2, CCB-26, EPIC 1 (formerly EPIC 3102), EPIC 3102D2, EPIC 2, KB-HS1, or Fastbrake brake systems.
(2) Every 1,476 days for that portion of the cab car brake system using brake valves that are identical to the passenger coach 26-C brake system;
(3) Every 1,104 days for that portion of the cab car brake system using brake valves that are identical to the locomotive 26-L brake system; and
(4) Every 736 days for all other types of cab car brake valves.
(f) Records of periodic maintenance. (1) The date and place of the cleaning, repairing, and testing required by this section shall be recorded on Form FRA 6180-49A or a similar form developed by the railroad containing the same information, and the person performing the work and that person's supervisor shall sign the form, if possible. Alternatively, the railroad may stencil the vehicle with the date and place of the cleaning, repairing, and testing and maintain an electronic record of the person performing the work and that person's supervisor.
(2) A record of the parts of the air brake system that are cleaned, repaired, and tested shall be kept in the railroad's files, the cab of the locomotive, or a designated location in the passenger car until the next such periodic test is performed.
§ 238.311   Single car test.
(a) Except for self-propelled passenger cars, single car tests of all passenger cars and all unpowered vehicles used in passenger trains shall be performed in accordance with either APTA Standard SS-M-005-98, “Code of Tests for Passenger Car Equipment Using Single Car Testing Device,” published March, 1998; or an alternative procedure approved by FRA pursuant to § 238.21. The incorporation by reference of this APTA standard was approved by the Director of the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. You may obtain a copy of the incorporated document from the American Public Transit Association, 1201 New York Avenue, NW., Washington, DC 20005. You may inspect a copy of the document at the Federal Railroad Administration, Docket Clerk, 1200 New Jersey Avenue, SE., Washington, DC or at the National Archives and Records Administration (NARA). For information on the availability of this material at NARA, call 202-741-6030, or go to: http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html.
(b) Each single car test required by this section shall be performed by a qualified maintenance person.
(c) A railroad shall perform a single car test of the brake system of a car or vehicle described in paragraph (a) of this section if the car or vehicle is found with one or more of the following wheel defects:
(1) Built-up tread;
(2) Slid flat wheel;
(3) Thermal crack;
(4) Overheated wheel; or
(5) Shelling.
(d) A railroad need not perform the single car test required in paragraph (c) of this section, if the railroad can establish that the wheel defect is other than built-up tread and is due to a cause other than a defective brake system on the car.
(e) Except as provided in paragraph (f) of this section, a railroad shall perform a single car test of the brake system of a car or vehicle described in paragraph (a) of this section when:
(1) Except for private cars, a car or vehicle is placed in service after having been out of service for 30 days or more; or
(2) One or more of the following conventional air brake equipment items is removed, repaired, or replaced:
(i) Relay valve;
(ii) Service portion;
(iii) Emergency portion; or
(iv) Pipe bracket.
(f) Exception. If the single car test cannot be made at the point where repairs are made, the car may be moved in passenger service to the next forward location where the test can be made. A railroad may move a car in this fashion only after visually verifying an application and release of the brakes on both sides of the car that was repaired, and provided that the car is appropriately tagged to indicate the need to perform a single car test. The single car test shall be completed prior to, or as a part of, the car's next calendar day mechanical inspection.
(g) If one or more of the following conventional air brake equipment items is removed, repaired, or replaced only that portion which is renewed or replaced must be tested to satisfy the provisions of this section:
(1) Brake reservoir;
(2) Brake cylinder;
(3) Piston assembly;
(4) Vent valve;
(5) Quick service valve;
(6) Brake cylinder release valve;
(7) Modulating valve or slack adjuster; or
(8) Angle cock or cutout cock.
§ 238.313   Class I brake test.
(a) Each commuter and short-distance intercity passenger train shall receive a Class I brake test once each calendar day that the train is placed or continues in passenger service.
(b) Except as provided in paragraph (i) of this section, each long-distance intercity passenger train shall receive a Class I brake test:
(1) Prior to the train's departure from an originating terminal; and
(2) Every 1,500 miles or once each additional calendar day, whichever occurs first, that the train remains in continuous passenger service.
(c) Each passenger car and each unpowered vehicle added to a passenger train shall receive a Class I or Class IA brake test at the time it is added to the train unless notice is provided to the train crew that a Class I brake test was performed on the car within the previous calendar day and the car has not been disconnected from a source of compressed air for more than four hours prior to being added to the train. The notice required by this section shall contain the date, time, and location of the last Class I brake test.
(d) Each Class I brake test shall be performed by a qualified maintenance person.
(e) Each Class I brake test may be performed either separately or in conjunction with the exterior calendar day mechanical inspection required under § 238.303.
(f) Except as provided in § 238.15(b), a railroad shall not use or haul a passenger train in passenger service from a location where a Class I brake test has been performed, or was required by this part to have been performed, with less than 100 percent operative brakes.
(g) A Class I brake test shall be performed at the air pressure at which the train's air brakes will be operated, but not less than 90 psi, and shall be made to determine and ensure that:
(1) The friction brakes apply and remain applied on each car in the train until a release of the brakes has been initiated on each car in response to train line electric, pneumatic, or other signals. This test shall include a verification that each side of each car's brake system responds properly to application and release signals;
(2) The brake shoes or pads are firmly seated against the wheel or disc with the brakes applied;
(3) Piston travel is within prescribed limits, either by direct observation, observation of a piston travel indicator, or in the case of tread or disc brakes by determining that the brake shoe or pad provides pressure to the wheel. For vehicles equipped with 8 1/2 -inch or 10-inch diameter brake cylinders, piston travel shall be within 7 to 9 inches. If piston travel is found to be less than 7 inches or more than 9 inches, it must be adjusted to nominally 7 1/2 inches. Proper release of the brakes can be determined by observation of the clearance between the brake shoe and the wheel or between the brake pad and the brake disc.
(4) The communicating signal system is tested and known to be operating as intended; a tested and operating two-way radio system meets this requirement;
(5) Each brake shoe or pad is securely fastened and correctly aligned in relation to the wheel or to the disc;
(6) The engineer's brake valve or controller will cause the proper train line commands for each position or brake level setting;
(7) Brake pipe leakage does not exceed 5 pounds per square inch per minute if leakage will affect service performance;
(8) The emergency brake application and deadman pedal or other emergency control devices function as intended;
(9) Each brake shoe or pad is not below the minimum thickness established by the railroad. This thickness shall not be less than the minimum thickness necessary to safely travel the maximum distance allowed between Class I brake tests;
(10) Each angle cock and cutout cock is properly positioned;
(11) The brake rigging or the system mounted on the car for the transmission of the braking force operates as intended and does not bind or foul so as to impede the force delivered to a brake shoe, impede the release of a brake shoe, or otherwise adversely affect the operation of the brake system;
(12) If the train is equipped with electropneumatic brakes, an electropneumatic application of the brakes is made and the train is walked to determine that the brakes on each car in the train properly apply;
(13) Each brake disc is free of any crack in accordance with the manufacturer's specifications or, if no specifications exist, free of any crack to the extent that the design permits;
(14) If the equipment is provided with a brake indicator, the brake indicator operates as intended; and
(15) The communication of brake pipe pressure changes at the rear of the train is verified, which may be accomplished by observation of an application and release of the brakes on the last car in the train.
(h) Records. A record shall be maintained of each Class I brake test performed.
(1) This record may be maintained in writing or electronically, provided FRA has access to the record upon request.
(2) The written or electronic record must contain the following information:
(i) The date and time that the Class I brake test was performed;
(ii) The location where the test was performed;
(iii) The identification number of the controlling locomotive of the train;
(iv) The total number of cars inspected during the test; and
(v) The signature or electronic identification of the inspector.
(3) This record shall be maintained at the place where the inspection is conducted or at one central location and shall be retained for at least 92 days.
(i) A long-distance, intercity passenger train that misses a scheduled calendar day Class I brake test due to a delay en route may proceed to the point where the Class I brake test was scheduled to be performed. A Class I brake test shall be completed at that point prior to placing the train back in service.
(j) In addition to complying with all the Class I brake test requirements performed by a qualified maintenance person as contained in paragraphs (a) through (i) of this section, railroads operating passenger equipment that is not designed to permit the visual observation of the brake actuation and release without the inspector going on, under, or between the equipment in accordance with § 238.231(b) shall perform an additional inspection. At a minimum, the additional inspection requirement for such equipment shall include all of the following:
(1) An additional inspection by a qualified maintenance person of all items and components contained in paragraphs (g)(1) through (g)(15) of this section;
(2) The additional inspection shall be conducted at an interval not to exceed five (5) in-service days and shall be conducted while the equipment is over an inspection pit or on a raised inspection track; and
(3) A record of the additional inspection shall be maintained pursuant to the requirements contained in paragraph (h) of this section. This record can be combined with the Class I brake test record.
§ 238.315   Class IA brake test.
(a) Except as provided in paragraph (b) of this section, either a Class I or a Class IA brake test shall be performed:
(1) Prior to the first morning departure of each commuter or short-distance intercity passenger train, unless all of the following conditions are satisfied:
(i) A Class I brake test was performed within the previous twelve (12) hours;
(ii) The train has not been used in passenger service since the performance of the Class I brake test; and
(iii) The train has not been disconnected from a source of compressed air for more than four hours since the performance of the Class I brake test; and
(2) Prior to placing a train in service that has been off a source of compressed air for more than four hours.
(b) A commuter or short-distance intercity passenger train that provides continuing late night service that began prior to midnight may complete its daily operating cycle after midnight without performing another Class I or Class IA brake test. A Class I or Class IA brake test shall be performed on such a train before it starts a new daily operating cycle.
(c) A Class IA brake test may be performed at a shop or yard site and is not required to be repeated at the first passenger terminal if the train remains on a source of compressed air and:
(1) The train remains in the custody of the train crew; or
(2) The train crew receives notice that the Class IA brake test has been performed.
(d) The Class IA brake test shall be performed by either a qualified person or a qualified maintenance person.
(e) Except as provided in § 238.15(b), a railroad shall not use or haul a passenger train in passenger service from a location where a Class IA brake test has been performed, or was required by this part to have been performed, with less than 100 percent operative brakes.
(f) A Class IA brake test shall be performed at the air pressure at which the train's air brakes will be operated and shall determine and ensure that:
(1) Brake pipe leakage does not exceed 5 pounds per square inch per minute if brake pipe leakage will affect service performance;
(2) Each brake sets and releases by inspecting in the manner described in paragraph (g) of this section;
(3) For MU locomotives that utilize an electric signal to communicate a service brake application and only a pneumatic signal to propagate an emergency brake application, the emergency brake application functions as intended.
(4) Each angle cock and cutout cock is properly set;
(5) The communication of brake pipe pressure changes at the rear of the train is verified, which may be accomplished by observation of an application and release of the brakes on the last car in the train; and
(6) The communicating signal system is tested and known to be operating as intended; a tested and operating two-way radio system meets this requirement.
(g) In determining whether each brake sets and releases—
(1) The inspection of the set and release of the brakes shall be completed by walking the train to directly observe the set and release of each brake, if the railroad determines that such a procedure is safe.
(2) If the railroad determines that operating conditions pose a safety hazard to an inspector walking the brakes, brake indicators may be used to verify the set and release on cars so equipped. However, the observation of the brake indicators shall not be made from the cab of the locomotive. The inspector shall walk the train in order to position himself or herself to accurately observe each indicator.
§ 238.317   Class II brake test.
(a) A Class II brake test shall be performed on a passenger train when any of the following events occurs:
(1) Whenever the control stand used to control the train is changed; except if the control stand is changed to facilitate the movement of a passenger train from one track to another within a terminal complex while not in passenger service. In these circumstances, a Class II brake test shall be performed prior to the train's departure from the terminal complex with passengers;
(2) Prior to the first morning departure of each commuter or short-distance intercity passenger train where a Class I brake test remains valid as provided in § 238.315(a)(1);
(3) When previously tested units (i.e., cars that received a Class I brake test within the previous calendar day and have not been disconnected from a source of compressed air for more than four hours) are added to the train;
(4) When cars or equipment are removed from the train; and
(5) When an operator first takes charge of the train, except for face-to-face relief.
(b) A Class II brake test shall be performed by a qualified person or a qualified maintenance person.
(c) Except as provided in § 238.15, a railroad shall not use or haul a passenger train in passenger service from a terminal or yard where a Class II brake test has been performed, or was required by this part to have been performed, with any of the brakes cut-out, inoperative, or defective.
(d) In performing a Class II brake test on a train, a railroad shall determine that:
(1) The brakes on the rear unit of the train apply and release in response to a signal from the engineer's brake valve or controller of the leading or controlling unit, or a gauge or similar device located at the rear of the train or in the cab of the rear unit indicates that brake pipe pressure changes are properly communicated at the rear of the train;
(2) For MU locomotives that utilize an electric signal to communicate a service brake application and only a pneumatic signal to propagate an emergency brake application, the emergency brake application functions as intended.
(3) The communicating signal system is tested and known to be operating as intended; a tested and operating two-way radio system meets this requirement.
§ 238.319   Running brake test.
(a) As soon as conditions safely permit, a running brake test shall be performed on each passenger train after the train has received, or was required under this part to have received, either a Class I, Class IA, or Class II brake test.
(b) A running brake test shall be performed whenever the control stand used to control the train is changed to facilitate the movement of a passenger train from one track to another within a terminal complex while not in passenger service.
(c) The running brake test shall be conducted in accordance with the railroad's established operating rules, and shall be made by applying brakes in a manner that allows the engineer to ascertain whether the brakes are operating properly.
(d) If the engineer determines that the brakes are not operating properly, the engineer shall stop the train and follow the procedures provided in § 238.15.
§ 238.321   Out-of-service credit.
When a passenger car is out of service for 30 or more consecutive days or is out of service when it is due for any test or inspection required by § 238.307 or § 238.309 an out of use notation showing the number of out of service days shall be made in the records required under §§ 238.307(e) and 238.309(f). If the passenger car is out of service for one or more periods of at least 30 consecutive days, the interval prescribed for any test or inspection required by §§ 238.307 and 238.309 may be extended by the number of days in each period the passenger car is out of service since the last test or inspection in question. A movement made in accordance with § 229.9 of this chapter or § 238.17 is not considered service for the purposes of determining the out-of-service credit.
§ 238.401   Scope.
This subpart contains specific requirements for railroad passenger equipment operating at speeds exceeding 125 mph but not exceeding 160 mph. The requirements of this subpart apply beginning on September 9, 1999. As stated in § 238.433(b), all such passenger equipment remains subject to the requirements concerning couplers and uncoupling devices contained in Federal statute at 49 U.S.C. chapter 203 and in FRA regulations at part 231 and § 232.2 of this chapter.
§ 238.403   Crash energy management.
(a) Each power car and trailer car shall be designed with a crash energy management system to dissipate kinetic energy during a collision. The crash energy management system shall provide a controlled deformation and collapse of designated sections within the unoccupied volumes to absorb collision energy and to reduce the decelerations on passengers and crewmembers resulting from dynamic forces transmitted to occupied volumes.
(b) The design of each unit shall consist of an occupied volume located between two normally unoccupied volumes. Where practical, sections within the unoccupied volumes shall be designed to be structurally weaker than the occupied volume. During a collision, the designated sections within the unoccupied volumes shall start to deform and eventually collapse in a controlled fashion to dissipate energy before any structural damage occurs to the occupied volume.
(c) At a minimum, each Tier II passenger train shall be designed to meet the following requirements:
(1) Thirteen megajoules (MJ) shall be absorbed at each end of the train through the controlled crushing of unoccupied volumes, and of this amount a minimum of 5 MJ shall be absorbed ahead of the operator's cab in each power car;
(2) A minimum of an additional 3 MJ shall be absorbed by the power car structure between the operator's cab and the first trailer car; and
(3) The end of the first trailer car adjacent to each power car shall absorb a minimum of 5 MJ through controlled crushing.
(d) For a 30-mph collision of a Tier II passenger train on tangent, level track with an identical stationary train:
(1) When seated anywhere in a trailer car, the velocity at which a 50th-percentile adult male contacts the seat back ahead of him shall not exceed 25 mph; and
(2) The deceleration of the occupied volumes of each trailer car shall not exceed 8g. For the purpose of demonstrating compliance with this paragraph, deceleration measurements may be processed through a low-pass filter having a bandwidth of 50 Hz.
(e) Compliance with paragraphs (a) through (d) of this section shall be demonstrated by analysis using a dynamic collision computer model. For the purpose of demonstrating compliance, the following assumptions shall be made:
(1) The train remains upright, in line, and with all wheels on the track throughout the collision; and
(2) Resistance to structural crushing follows the force-versus-displacement relationship determined during the structural analysis required as part of the design of the train.
(f) Passenger seating shall not be permitted in the leading unit of a Tier II passenger train.
§ 238.405   Longitudinal static compressive strength.
(a) To form an effective crash refuge for crewmembers occupying the cab of a power car, the underframe of the cab of a power car shall resist a minimum longitudinal static compressive force of 2,100,000 pounds without permanent deformation to the cab, unless equivalent protection to crewmembers is provided under an alternate design approach, validated through analysis and testing, and approved by FRA under the provisions of § 238.21.
(b) The underframe of the occupied volume of each trailer car shall resist a minimum longitudinal static compressive force of 800,000 pounds without permanent deformation to the car. To demonstrate compliance with this requirement, the 800,000-pound load shall be applied to the underframe of the occupied volume as it would be transmitted to the underframe by the full structure of the vehicle.
(c) Unoccupied volumes of a power car or a trailer car designed to crush as part of the crash energy management design are not subject to the requirements of this section.
§ 238.407   Anti-climbing mechanism.
(a) Each power car shall have an anti-climbing mechanism at its forward end capable of resisting an ultimate upward or downward static vertical force of 200,000 pounds. A power car constructed with a crash energy management design is permitted to crush in a controlled manner before the anti-climbing mechanism fully engages.
(b) Interior train coupling points between units, including between units of articulated cars or other permanently joined units of cars, shall have an anti-climbing mechanism capable of resisting an upward or downward vertical force of 100,000 pounds without yielding.
(c) The forward coupler of a power car shall be attached to the car body to resist a vertical downward force of 100,000 pounds for any horizontal position of the coupler without yielding.
§ 238.409   Forward end structures of power car cabs.
This section contains requirements for the forward end structure of the cab of a power car. (A conceptual implementation of this end structure is provided in Figure 1 to this subpart.)
(a) Center collision post. The forward end structure shall have a full-height center collision post, or its structural equivalent, capable of withstanding the following:
(1) A shear load of 500,000 pounds at its joint with the underframe without exceeding the ultimate strength of the joint;
(2) A shear load of 150,000 pounds at its joint with the roof without exceeding the ultimate strength of the joint; and
(3) A horizontal, longitudinal force of 300,000 pounds, applied at a point on level with the bottom of the windshield, without exceeding its ultimate strength.
(b) Side collision posts. The forward end structure shall have two side collision posts, or their structural equivalent, located at approximately the one-third points laterally, each capable of withstanding the following:
(1) A shear load of 500,000 pounds at its joint with the underframe without exceeding the ultimate strength of the joint; and
(2) A horizontal, longitudinal force of 300,000 pounds, applied at a point on level with the bottom of the windshield, without exceeding its ultimate strength.
(c) Corner posts. The forward end structure shall have two full-height corner posts, or their structural equivalent, each capable of withstanding the following:
(1) A horizontal, longitudinal or lateral shear load of 300,000 pounds at its joint with the underframe, without exceeding the ultimate strength of the joint;
(2) A horizontal, lateral force of 100,000 pounds applied at a point 30 inches up from the underframe attachment, without exceeding the yield or the critical buckling stress; and
(3) A horizontal, longitudinal or lateral shear load of 80,000 pounds at its joint with the roof, without exceeding the ultimate strength of the joint.
(d) Skin. The skin covering the forward-facing end of each power car shall be:
(1) Equivalent to a 1/2 -inch steel plate with a 25,000 pounds-per-square-inch yield strength—material of a higher yield strength may be used to decrease the required thickness of the material provided at least an equivalent level of strength is maintained;
(2) Securely attached to the end structure; and
(3) Sealed to prevent the entry of fluids into the occupied cab area of the equipment. As used in paragraph (d), the term “skin” does not include forward-facing windows and doors.
§ 238.411   Rear end structures of power car cabs.
The rear end structure of the cab of a power car shall be designed to include the following elements, or their structural equivalent. (A conceptual implementation of this end structure is provided in Figure 2 to this subpart.)
(a) Corner posts. The rear end structure shall have two full-height corner posts, or their structural equivalent, each capable of withstanding the following:
(1) A horizontal, longitudinal or lateral shear load of 300,000 pounds at its joint with the underframe without exceeding the ultimate strength of the joint; and
(2) A horizontal, longitudinal or lateral shear load of 80,000 pounds at its joint with the roof without exceeding the ultimate strength of the joint.
(b) Collision posts. The rear end structure shall have two full-height collision posts, or their structural equivalent, each capable of withstanding the following:
(1) A horizontal, longitudinal shear load of 500,000 pounds at its joint with the underframe without exceeding the ultimate strength of the joint; and
(2) A horizontal, longitudinal shear load of 75,000 pounds at its joint with the roof without exceeding the ultimate strength of the joint.
§ 238.413   End structures of trailer cars.
(a) Except as provided in paragraph (b) of this section, the end structure of a trailer car shall be designed to include the following elements, or their structural equivalent. (A conceptual implementation of this end structure is provided in Figure 3 to this subpart.)
(1) Corner posts. Two full-height corner posts, each capable of withstanding the following:
(i) A horizontal, longitudinal shear load of 150,000 pounds at its joint with the underframe without exceeding the ultimate strength of the joint;
(ii) A horizontal, longitudinal or lateral force of 30,000 pounds applied at a point 18 inches up from the underframe attachment without exceeding the yield or the critical buckling stress; and
(iii) A horizontal, longitudinal or lateral shear load of 20,000 pounds at its joint with the roof without exceeding the ultimate strength of the joint.
(2) Collision posts. Two full-height collision posts each capable of withstanding the following:
(i) A horizontal, longitudinal shear load of 300,000 pounds at its joint with the underframe without exceeding the ultimate strength of the joint; and
(ii) A horizontal, longitudinal shear load of 60,000 pounds at its joint with the roof without exceeding the ultimate strength of the joint.
(b) If the trailer car is designed with an end vestibule, the end structure inboard of the vestibule shall have two full-height corner posts, or their structural equivalent, each capable of withstanding the following (A conceptual implementation of this end structure is provided in Figure 4 to this subpart):
(1) A horizontal, longitudinal shear load of 200,000 pounds at its joint with the underframe without exceeding the ultimate strength of the joint;
(2) A horizontal, lateral force of 30,000 pounds applied at a point 18 inches up from the underframe attachment without exceeding the yield or the critical buckling stress;
(3) A horizontal, longitudinal force of 50,000 pounds applied at a point 18 inches up from the underframe attachment without exceeding the yield or the critical buckling stress; and
(4) A horizontal, longitudinal or lateral shear load of 20,000 pounds at its joint with the roof without exceeding the ultimate strength of the joint.
§ 238.415   Rollover strength.
(a) Each passenger car and power car shall be designed to rest on its side and be uniformly supported at the top (“roof rail”) and the bottom chords (“side sill”) of the side frame. The allowable stress in the structural members of the occupied volumes for this condition shall be one-half yield or one-half the critical buckling stress, whichever is less. Minor localized deformations to the outer side skin of the passenger car or power car is allowed provided such deformations in no way intrude upon the occupied volume of each car.
(b) Each passenger car and power car shall also be designed to rest on its roof so that any damage in occupied areas is limited to roof sheathing and framing. The allowable stress in the structural members of the occupied volumes for this condition shall be one-half yield or one-half the critical buckling stress, whichever is less. Deformation to the roof sheathing and framing is allowed to the extent necessary to permit the vehicle to be supported directly on the top chords of the side frames and end frames.
§ 238.417   Side loads.
(a) Each passenger car body structure shall be designed to resist an inward transverse load of 80,000 pounds of force applied to the side sill and 10,000 pounds of force applied to the belt rail (horizontal members at the bottom of the window opening in the side frame).
(b) These loads shall be considered to be applied separately over the full vertical dimension of the specified member for any distance of 8 feet in the direction of the length of the car.
(c) The allowable stress shall be the lesser of the yield stress, except as otherwise allowed by this paragraph, or the critical buckling stress. In calculating the stress to show compliance with this requirement, local yielding of the side skin adjacent to the side sill and belt rail, and local yielding of the side sill bend radii at the crossbearer and floor-beam connections is allowed. For purposes of this paragraph, local yielding is allowed provided the resulting deformations in no way intrude upon the occupied volume of the car.
(d) The connections of the side frame to the roof and underframe shall support the loads specified in this section.
§ 238.419   Truck-to-car-body and truck component attachment.
(a) The ultimate strength of the truck-to-car-body attachment for each unit in a train shall be sufficient to resist without failure the following individually applied loads: a vertical force equivalent to 2g acting on the mass of the truck; and a force of 250,000 pounds acting in any horizontal direction on the truck, along with the resulting vertical reaction to this load.
(b) Each component of a truck (which include axles, wheels, bearings, the truck-mounted brake system, suspension system components, and any other components attached to the truck by design) shall remain attached to the truck when a force equivalent to 2g acting on the mass of the component is exerted in any direction on that component.
§ 238.421   Glazing.
(a) General. Except as provided in paragraphs (b) and (c) of this section, each exterior window on a passenger car and a power car cab shall comply with the requirements contained in part 223 of this chapter.
(b) Particular end-facing exterior glazing requirements. Each end-facing exterior window in a passenger car and a power car cab shall also, in the orientation in which it is installed in the car:
(1) Resist the impact of a 12-pound solid steel sphere traveling (i) at the maximum speed at which the car will operate (ii) at an impact angle no less severe than horizontal to the car, with no penetration or spall. An impact angle that is perpendicular (90 degrees) to the window's surface shall be considered the most severe impact angle for purposes of this requirement; and
(2) Demonstrate anti-spalling performance by the use of a 0.001-inch thick aluminum witness plate, placed 12 inches from the window's surface during all impact tests. The witness plate shall contain no marks from spalled glazing particles after any impact test; and
(3) Be permanently marked, prior to installation, in such a manner that the marking is clearly visible after the material has been installed. The marking shall include:
(i) The words “FRA TYPE IHP” to indicate that the material has successfully passed the testing requirements specified in this paragraph;
(ii) The name of the manufacturer; and
(iii) The type or brand identification of the material.
(c) Passenger equipment ordered prior to May 12, 1999. Each exterior window in passenger equipment ordered prior to May 12, 1999, may comply with the following glazing requirements in lieu of the requirements specified in paragraphs (a) and (b) of this section:
(1) Each end-facing exterior window shall, in the orientation in which it is installed in the vehicle, resist the impact of a 12-pound solid steel sphere traveling (i) at the maximum speed at which the vehicle will operate (ii) at an impact angle no less severe than horizontal to the vehicle, with no penetration or spall. An impact angle that is perpendicular to the window's surface shall be considered the most severe impact angle for purposes of this requirement.
(2) Each side-facing exterior window shall resist the impact of a:
(i) 12-pound solid steel sphere at 15 mph, at an angle of 90 degrees to the window's surface, with no penetration or spall; and
(ii) A granite ballast stone weighing a minimum of 0.5 pounds, traveling at 75 mph and impacting at a 90-degree angle to the window's surface, with no penetration or spall.
(3) All exterior windows shall:
(i) Resist a single impact of a 9-mm, 147-grain bullet traveling at an impact velocity of 900 feet per second, with no bullet penetration or spall; and
(ii) Demonstrate anti-spalling performance by the use of a 0.002-inch thick aluminum witness plate, placed 12 inches from the window's surface during all impact tests. The witness plate shall contain no marks from spalled glazing particles after any impact test; and
(iii) Be permanently marked, prior to installation, in such a manner that the marking is clearly visible after the material has been installed. The marking shall include:
(A) The words “FRA TYPE IH” for end-facing glazing or “FRA TYPE IIH” for side-facing glazing, to indicate that the material has successfully passed the testing requirements of this section;
(B) The name of the manufacturer; and
(C) The type or brand identification of the material.
(d) Glazing securement. Each exterior window on a passenger car and a power car cab shall remain in place when subjected to:
(1) The forces due to air pressure differences caused when two trains pass at the minimum separation for two adjacent tracks, while traveling in opposite directions, each train traveling at the maximum authorized speed; and
(2) The impact forces that the glazed window is required to resist as specified in this section.
(e) Stenciling. Each car that is fully equipped with glazing materials that meet the requirements of this section shall be stenciled on an interior wall as follows: “Fully Equipped with FRA Part 238 Glazing” or similar words conveying that meaning, in letters at least 3/8 of an inch high.
§ 238.423   Fuel tanks.
(a) External fuel tanks. Each type of external fuel tank must be approved by FRA's Associate Administrator for Safety upon a showing that the fuel tank provides a level of safety at least equivalent to a fuel tank that complies with the external fuel tank requirements in § 238.223(a).
(b) Internal fuel tanks. Internal fuel tanks shall comply with the requirements specified in § 238.223(b).
§ 238.425   Electrical system.
(a) Circuit protection. (1) The main propulsion power line shall be protected with a lightning arrestor, automatic circuit breaker, and overload relay. The lightning arrestor shall be run by the most direct path possible to ground with a connection to ground of not less than No. 6 AWG. These overload protection devices shall be housed in an enclosure designed specifically for that purpose with the arc chute vented directly to outside air.
(2) Head end power, including trainline power distribution, shall be provided with both overload and ground fault protection.
(3) Circuits used for purposes other than propelling the equipment shall be connected to their power source through circuit breakers or equivalent current-limiting devices.
(4) Each auxiliary circuit shall be provided with a circuit breaker located as near as practical to the point of connection to the source of power for that circuit; however, such protection may be omitted from circuits controlling safety-critical devices.
(b) Main battery system. (1) The main batteries shall be isolated from the cab and passenger seating areas by a non-combustible barrier.
(2) Battery chargers shall be designed to protect against overcharging.
(3) Battery circuits shall include an emergency battery cut-off switch to completely disconnect the energy stored in the batteries from the load.
(4) If batteries are of the type to potentially vent explosive gases, the batteries shall be adequately ventilated to prevent accumulation of explosive concentrations of these gases.
(c) Power dissipation resistors. (1) Power dissipating resistors shall be adequately ventilated to prevent overheating under worst-case operating conditions.
(2) Power dissipation grids shall be designed and installed with sufficient isolation to prevent combustion between resistor elements and combustible material.
(3) Power dissipation resistor circuits shall incorporate warning or protective devices for low ventilation air flow, over-temperature, and short circuit failures.
(4) Resistor elements shall be electrically insulated from resistor frames, and the frames shall be electrically insulated from the supports that hold them.
(d) Electromagnetic interference and compatibility. (1) The operating railroad shall ensure electromagnetic compatibility of the safety-critical equipment systems with their environment. Electromagnetic compatibility can be achieved through equipment design or changes to the operating environment.
(2) The electronic equipment shall not produce electrical noise that interferes with trainline control and communications or with wayside signaling systems.
(3) To contain electromagnetic interference emissions, suppression of transients shall be at the source wherever possible.
(4) Electrical and electronic systems of equipment shall be capable of operation in the presence of external electromagnetic noise sources.
(5) All electronic equipment shall be self-protected from damage or improper operation, or both, due to high voltage transients and long-term over-voltage or under-voltage conditions.
§ 238.427   Suspension system.
(a) General requirements. (1) Suspension systems shall be designed to reasonably prevent wheel climb, wheel unloading, rail rollover, rail shift, and a vehicle from overturning to ensure safe, stable performance and ride quality. These requirements shall be met:
(i) In all operating environments, and under all track conditions and loading conditions as determined by the operating railroad; and
(ii) At all track speeds and over all track qualities consistent with the Track Safety Standards in part 213 of this chapter, up to the maximum operating speed and maximum cant deficiency of the equipment.
(2) All passenger equipment shall meet the safety performance standards for suspension systems contained in part 213 of this chapter, or alternative standards providing at least equivalent safety if approved by FRA under the provisions of § 238.21. In particular—
(i) Pre-revenue service qualification. All passenger equipment shall demonstrate safe operation during pre-revenue service qualification in accordance with § 213.345 of this chapter and is subject to the requirements of § 213.329 of this chapter.
(ii) Revenue service operation. All passenger equipment in service is subject to the requirements of §§ 213.329 and 213.333 of this chapter.
(b) Carbody acceleration. A passenger car shall not operate under conditions that result in a steady-state lateral acceleration greater than 0.15g, as measured parallel to the car floor inside the passenger compartment. Additional carbody acceleration limits are specified in § 213.333 of this chapter.
(c) Truck (hunting) acceleration. Each truck shall be equipped with a permanently installed lateral accelerometer mounted on the truck frame. If truck hunting is detected, the train monitoring system shall provide an alarm to the locomotive engineer, and the train shall be slowed to a speed at least 5 mph less than the speed at which the truck hunting stopped. Truck hunting is defined in § 213.333 of this chapter.
§ 238.428   Overheat sensors.
Overheat sensors for each wheelset journal bearing shall be provided. The sensors may be placed either onboard the equipment or at reasonable intervals along the railroad's right-of-way.
§ 238.429   Safety appliances.
(a) Couplers. (1) The leading and the trailing ends of a semi-permanently coupled trainset shall each be equipped with an automatic coupler that couples on impact and uncouples by either activation of a traditional uncoupling lever or some other type of uncoupling mechanism that does not require a person to go between the equipment units.
(2) The automatic coupler and uncoupling device on the leading and trailing ends of a semi-permanently coupled trainset may be stored within a removable shrouded housing.
(3) If the units in a train are not semi-permanently coupled, both ends of each unit shall be equipped with an automatic coupler that couples on impact and uncouples by either activation of a traditional uncoupling lever or some other type of uncoupling mechanism that does not require a person to go between the equipment units.
(b) Hand brakes. Except as provided in paragraph (f) of this section, Tier II trains shall be equipped with a parking or hand brake that can be applied and released manually and that is capable of holding the train on a 3-percent grade.
(c) Safety appliance mechanical strength and fasteners. (1) All handrails, handholds, and sill steps shall be made of 1-inch diameter steel pipe, 5/8 -inch thickness steel, or a material of equal or greater mechanical strength.
(2) All safety appliances shall be securely fastened to the car body structure with mechanical fasteners that have mechanical strength greater than or equal to that of a 1/2 -inch diameter SAE grade steel bolt mechanical fastener.
(i) Safety appliance mechanical fasteners shall have mechanical strength and fatigue resistance equal to or greater than a 1/2 -inch diameter SAE steel bolt.
(ii) Mechanical fasteners shall be installed with a positive means to prevent unauthorized removal. Self-locking threaded fasteners do not meet this requirement.
(iii) Mechanical fasteners shall be installed to facilitate inspection.
(d) Handrails and handholds. Except as provided in paragraph (f) of this section:
(1) Handrails shall be provided for passengers on both sides of all steps used to board or depart the train.
(2) Exits on a power vehicle shall be equipped with handrails and handholds so that crewmembers can get on and off the vehicle safely.
(3) Throughout their entire length, handrails and handholds shall be a color that contrasts with the color of the vehicle body to which they are fastened.
(4) The maximum distance above the top of the rail to the bottom of vertical handrails and handholds shall be 51 inches, and the minimum distance shall be 21 inches.
(5) Vertical handrails and handholds shall be installed to continue to a point at least equal to the height of the top edge of the control cab door.
(6) The minimum hand clearance distance between a vertical handrail or handhold and the vehicle body shall be 2 1/2 inches for the entire length.
(7) All vertical handrails and handholds shall be securely fastened to the vehicle body.
(8) If the length of the handrail exceeds 60 inches, it shall be securely fastened to the power vehicle body with two fasteners at each end.
(e) Sill steps. Except as provided in paragraph (f) of this section, each power vehicle shall be equipped with a sill step below each exterior door as follows:
(1) The sill step shall have a minimum cross-sectional area of 1/2 by 3 inches;
(2) The sill step shall be made of steel or a material of equal or greater strength and fatigue resistance;
(3) The minimum tread length of the sill step shall be 10 inches;
(4) The minimum clear depth of the sill step shall be 8 inches;
(5) The outside edge of the tread of the sill step shall be flush with the side of the car body structure;
(6) Sill steps shall not have a vertical rise between treads exceeding 18 inches;
(7) The lowest sill step tread shall be not more than 24, preferably not more than 22, inches above the top of the track rail;
(8) Sill steps shall be a color that contrasts with the color of the power vehicle body to which they are fastened;
(9) Sill steps shall be securely fastened;
(10) At least 50 percent of the tread surface area of each sill step shall be open space; and
(11) The portion of the tread surface area of each sill step which is not open space and is normally contacted by the foot shall be treated with an anti-skid material.
(f) Exceptions. (1) If the units of the equipment are semi-permanently coupled, with uncoupling done only at maintenance facilities, the equipment units that are not required by paragraph (a) of this section to be equipped with automatic couplers need not be equipped with sill steps or end or side handholds that would normally be used to safely perform coupling and uncoupling operations.
(2) If the units of the equipment are not semi-permanently coupled, the units shall be equipped with hand brakes, sill steps, end handholds, and side handholds that meet the requirements contained in § 231.14 of this chapter.
(3) If two trainsets are coupled to form a single train that is not semi-permanently coupled (i.e., that is coupled by an automatic coupler), the automatically coupled ends shall be equipped with an end handhold that is located and installed so that an individual can safely couple and uncouple the trainsets. The end handhold shall be not more than 16 inches from each side of the car and shall extend the remaining length of the end of the car. (If the equipment is designed with a tapered nose, the side of the car shall be determined based on the outer dimension of the tapered nose where the end handhold is attached.) The end handhold shall also meet the mechanical strength and design requirements contained in paragraphs (c), (d)(3), and (d)(6) of this section. If the trainsets are semi-permanently coupled, this safety appliance is not required.
(g) Optional safety appliances. Safety appliances installed at the option of the railroad shall be firmly attached with mechanical fasteners and shall meet the design and installation requirements provided in this section.
§ 238.431   Brake system.
(a) A passenger train's brake system shall be capable of stopping the train from its maximum operating speed within the signal spacing existing on the track over which the train is operating under worst-case adhesion conditions.
(b) The brake system shall be designed to allow an inspector to determine that the brake system is functioning properly without having to place himself or herself in a dangerous position on, under, or between the equipment.
(c) Passenger equipment shall be provided with an emergency brake application feature that produces an irretrievable stop, using a brake rate consistent with prevailing adhesion, passenger safety, and brake system thermal capacity. An emergency brake application shall be available at any time, and shall be initiated by an unintentional parting of the train. A means to initiate an emergency brake application shall be provided at two locations in each unit of the train; however, where a unit of the train is 45 feet or less in length a means to initiate an emergency brake application need only be provided at one location in the unit.
(d) The brake system shall be designed to prevent thermal damage to wheels and brake discs. The operating railroad shall demonstrate through analysis and testing that no thermal damage results to the wheels or brake discs under conditions resulting in maximum braking effort being exerted on the wheels or discs.
(e) The following requirements apply to blended braking systems:
(1) Loss of power or failure of the dynamic brake does not result in exceeding the allowable stopping distance;
(2) The friction brake alone is adequate to safely stop the train under all operating conditions;
(3) The operational status of the electric portion of the brake system shall be displayed for the train operator in the control cab; and
(4) The operating railroad shall demonstrate through analysis and testing the maximum operating speed for safe operation of the train using only the friction brake portion of the blended brake with no thermal damage to wheels or discs.
(f) The brake system design shall allow a disabled train's pneumatic brakes to be controlled by a conventional locomotive, during a rescue operation, through brake pipe control alone.
(g) An independent failure-detection system shall compare brake commands with brake system output to determine if a failure has occurred. The failure detection system shall report brake system failures to the automated train monitoring system.
(h) Passenger equipment shall be equipped with an adhesion control system designed to automatically adjust the braking force on each wheel to prevent sliding during braking. In the event of a failure of this system to prevent wheel slide within preset parameters, a wheel slide alarm that is visual or audible, or both, shall alert the train operator in the cab of the controlling power car to wheel-slide conditions on any axle of the train.
§ 238.433   Draft system.
(a) Leading and trailing automatic couplers of trains shall be compatible with standard AAR couplers with no special adapters used.
(b) All passenger equipment continues to be subject to the requirements concerning couplers and uncoupling devices contained in Federal Statute at 49 U.S.C. chapter 203 and in FRA regulations at part 231 and § 232.2 of this chapter.
§ 238.435   Interior fittings and surfaces.
(a) Each seat back and seat attachment in a passenger car shall be designed to withstand, with deflection but without total failure, the load associated with the impact into the seat back of an unrestrained 95th-percentile adult male initially seated behind the seat back, when the floor to which the seat is attached decelerates with a triangular crash pulse having a peak of 8g and a duration of 250 milliseconds.
(b) Each seat back in a passenger car shall include shock-absorbent material to cushion the impact of occupants with the seat ahead of them.
(c) The ultimate strength of each seat attachment to a passenger car body shall be sufficient to withstand the following individually applied accelerations acting on the mass of the seat plus the mass of a seat occupant who is a 95th-percentile adult male:
(1) Lateral: 4g; and
(2) Vertical: 4g.
(d)(1) Other interior fittings shall be attached to the passenger car body with sufficient strength to withstand the following individually applied accelerations acting on the mass of the fitting:
(i) Longitudinal: 8g;
(ii) Lateral: 4g; and
(iii) Vertical: 4g.
(2) Fittings that can be expected to be impacted by a person during a collision, such as tables between facing seats, shall be designed for the mass of the fitting plus the mass of the number of occupants who are 95th-percentile adult males that could be expected to strike the fitting, when the floor of the passenger car decelerates with a triangular crash pulse having a peak of 8g and a duration of 250 milliseconds.
(e) The ultimate strength of the interior fittings and equipment in power car control cabs shall be sufficient to resist without failure loads due to the following individually applied accelerations acting on the mass of the fitting or equipment:
(1) Longitudinal: 12g;
(2) Lateral: 4g; and
(3) Vertical: 4g.
(f) To the extent possible, interior fittings, except seats, shall be recessed or flush-mounted. Corners and sharp edges shall be avoided or otherwise padded.
(g) Energy-absorbent material shall be used to pad surfaces likely to be impacted by occupants during collisions or derailments.
(h) Luggage stowage compartments shall be enclosed, and have an ultimate strength sufficient to resist loads due to the following individually applied accelerations acting on the mass of the luggage that the compartments are designed to accommodate:
(1) Longitudinal: 8g;
(2) Lateral: 4g; and
(3) Vertical: 4g.
(i) If, for purposes of showing compliance with the requirements of this section, the strength of a seat attachment is to be demonstrated through sled testing, the seat structure and seat attachment to the sled that are used in such testing must be representative of the actual seat structure in, and seat attachment to, the rail vehicle subject to the requirements of this section. If the attachment strength of any other interior fitting is to be demonstrated through sled testing, for purposes of showing compliance with the requirements of this section, such testing shall be conducted in a similar manner.
§ 238.437   [Reserved]
§ 238.439   Doors.
In addition to the requirements of § 238.112—
(a) The status of each powered, exterior side door in a passenger car shall be displayed to the crew in the operating cab. If door interlocks are used, the sensors used to detect train motion shall be nominally set to operate at 3 mph.
(b) Each powered, exterior side door in a passenger car shall be connected to an emergency back-up power system.
(c) For a passenger car ordered prior to January 28, 2014, and placed in service prior to January 29, 2018, a passenger compartment end door (other than a door providing access to the exterior of the trainset) shall be equipped with a kick-out panel, pop-out window, or other similar means of egress in the event the door will not open, or shall be so designed as to pose a negligible probability of becoming inoperable in the event of car body distortion following a collision or derailment.
§ 238.441   Emergency roof access.
(a) Existing passenger cars and power cars. Each passenger car and power car ordered prior to April 1, 2009 and placed in service for the first time prior to April 1, 2011, shall have a minimum of one roof hatch emergency access location with a minimum opening of 26 inches by 24 inches, or at least one structural weak point in the roof providing a minimum opening of the same dimensions, to provide access for properly equipped emergency response personnel. Each emergency roof access location shall be conspicuously marked, and legible and understandable operating instructions shall be posted at or near each such location. On or after January 28, 2015, such markings shall also conform with the requirements specified in § 238.125.
(b) New passenger cars. Each passenger car ordered on or after April 1, 2009 or placed in service for the first time on or after April 1, 2011, shall comply with the emergency roof access requirements specified in § 238.123.
(c) New power cars. Each power car ordered on or after April 1, 2009, or placed in service for the first time on or after April 1, 2011, shall have a minimum of one emergency roof access location, with a minimum opening of 26 inches longitudinally by 24 inches laterally, and comply with the emergency roof access requirements specified in §§ 238.123(b), (d), and (e).
§ 238.443   Headlights.
(a) Each power car shall be equipped with at least two headlights. Each headlight shall produce no less than 200,000 candela. One headlight shall be arranged to illuminate a person standing between the rails 800 feet ahead of the power car under clear weather conditions. The other headlight shall be arranged to illuminate a person standing between the rails 1,500 feet ahead of the power car under clear weather conditions.
(b) A power car with a headlight not in compliance with the requirements of paragraph (a) of this section shall be moved in accordance with the following:
(1) If one of the headlights is defective, the defect shall be considered a non-running gear defect subject to the provisions contained in § 238.17 of this part.
(2) If both headlights are defective, the power car shall be inspected and tagged in accordance with the requirements contained in § 238.17(c) relating to non-running gear defects. The power car may continue to be used in passenger service only to the nearest forward location where the repairs necessary to bring the power car into compliance can be made or to the power car's next calendar day mechanical inspection, whichever occurs first.
§ 238.445   Automated monitoring.
(a) Each passenger train shall be equipped to monitor the performance of the following systems or components:
(1) Reception of cab signals and train control signals;
(2) Truck hunting;
(3) Dynamic brake status;
(4) Friction brake status;
(5) Fire detection systems;
(6) Head end power status;
(7) Alerter or deadman control;
(8) Horn and bell;
(9) Wheel slide;
(10) Tilt system, if so equipped; and
(11) On-board bearing-temperature sensors, if so equipped.
(b) When any such system or component is operating outside of its predetermined safety parameters:
(1) The train operator shall be alerted; and
(2) Immediate corrective action shall be taken, if the system or component defect impairs the train operator's ability to safely operate the train. Immediate corrective action includes limiting the speed of the train.
(c) The monitoring system shall be designed with an automatic self-test feature that notifies the train operator that the monitoring capability is functioning correctly and alerts the train operator when a system failure occurs.
§ 238.447   Train operator's controls and power car cab layout.
(a) Train operator controls in the power car cab shall be arranged so as to minimize the chance of human error, and be comfortably within view and within easy reach when the operator is seated in the normal train control position.
(b) The train operator's control panel buttons, switches, levers, knobs, and the like shall be distinguishable by sight and by touch.
(c) An alerter shall be provided in the power car cab. If not acknowledged, the alerter shall cause a brake application to stop the train.
(d) Power car cab information displays shall be designed with the following characteristics:
(1) Simplicity and standardization shall be the driving criteria for design of formats for the display of information in the cab;
(2) Essential, safety-critical information shall be displayed as a default condition;
(3) Operator selection shall be required to display other than default information;
(4) Cab or train control signals shall be displayed for the operator; and
(5) Displays shall be readable from the operators's normal position under all lighting conditions.
(e) The power car cab shall be designed so at to permit the crew to have an effective field of view in the forward direction, as well as to the right and left of the direction of travel to observe objects approaching the train from either side. Field-of-view obstructions due to required structural members shall be minimized.
(f) Each seat provided for an employee regularly assigned to occupy a power car cab and any floor-mounted seat in the cab shall be:
(1) Secured to the car body with an attachment having an ultimate strength capable of withstanding the loads due to the following individually applied accelerations acting on the combined mass of the seat and the mass of a seat occupant who is a 95th-percentile adult male:
(i) Longitudinal: 12g;
(ii) Lateral: 4g; and
(iii) Vertical: 4g;
(2) Designed so that all adjustments have the range necessary to accommodate a person ranging from a 5th-percentile adult female to a 95th-percentile adult male, as persons possessing such characteristics are specified, correcting for clothing as appropriate, in any recognized survey after 1958 of weight, height, and other body dimensions of U.S. adults;
(3) Equipped with lumbar support that is adjustable from the seated position;
(4) Equipped with force-assisted, vertical-height adjustment, operated from the seated position;
(5) Equipped with a manually reclining seat back, adjustable from the seated position;
(6) Equipped with an adjustable headrest; and
(7) Equipped with folding, padded armrests.
(g) Sharp edges and corners shall be eliminated from the interior of the power car cab, and interior surfaces of the cab likely to be impacted by an employee during a collision or derailment shall be padded with shock-absorbent material.
§ 238.501   Scope.
This subpart contains inspection, testing, and maintenance requirements for railroad passenger equipment that operates at speeds exceeding 125 mph but not exceeding 160 mph.
§ 238.503   Inspection, testing, and maintenance requirements.
(a) General. Under the procedures provided in § 238.505, each railroad shall obtain FRA approval of a written inspection, testing, and maintenance program for Tier II passenger equipment prior to implementation of that program and prior to commencing passenger operations using that equipment. As further specified in this section, the program shall describe in detail the procedures, equipment, and other means necessary for the safe operation of the passenger equipment, including:
(1) Inspection procedures, intervals, and criteria;
(2) Testing procedures and intervals;
(3) Scheduled preventive-maintenance intervals;
(4) Maintenance procedures;
(5) Special testing equipment or measuring devices required to perform inspections, tests, and maintenance; and
(6) The training, qualification, and designation of employees and contractors to perform inspections, tests, and maintenance.
(b) Compliance. After the railroad's inspection, testing, and maintenance program is approved by FRA under § 238.505, the railroad shall adopt the program and shall perform—
(1) The inspections and tests of power brakes and other primary brakes as described in the program;
(2) The other inspections and tests described in the program in accordance with the procedures and criteria that the railroad identified as safety-critical; and
(3) The maintenance tasks described in the program in accordance with the procedures and intervals that the railroad identified as safety-critical.
(c) General safety inspection, testing, and maintenance procedures. The inspection, testing, and maintenance program under paragraph (a) of this section shall contain the railroad's written procedures to ensure that all systems and components of in service passenger equipment are free of any general condition that endangers the safety of the crew, passengers, or equipment. These procedures shall protect against:
(1) A continuous accumulation of oil or grease;
(2) Improper functioning of a component;
(3) A crack, break, excessive wear, structural defect, or weakness of a component;
(4) A leak;
(5) Use of a component or system under a condition that exceeds that for which the component or system is designed to operate; and
(6) Insecure attachment of a component.
(d) Specific inspections. The program under paragraph (a) of this section shall specify that all Tier II passenger equipment shall receive thorough inspections in accordance with the following standards:
(1) Except as provided in paragraph (d)(3) of this section, the equivalent of a Class I brake test contained in § 238.313 shall be conducted prior to a train's departure from an originating terminal and every 1,500 miles or once each calendar day, whichever comes first, that the train remains in continuous service.
(i) Class I equivalent brake tests shall be performed by a qualified maintenance person.
(ii) Except as provided in § 238.15(b), a railroad shall not use or haul a Tier II passenger train in passenger service from a location where a Class I equivalent brake test has been performed, or was required by this part to have been performed, with less than 100 percent operative brakes.
(2) Except as provided in paragraph (d)(3) of this section, a complete exterior and interior mechanical inspection, in accordance with the railroad's inspection program, shall be conducted by a qualified maintenance person at least once during each calendar day the equipment is used in service.
(3) Trains that miss a scheduled Class I brake test or mechanical inspection due to a delay en route may proceed to the point where the Class I brake test or mechanical inspection was scheduled to be performed.
(e) Movement of trains with power brake defects. Movement of trains with a power brake defect as defined in § 238.15 (any primary brake defect) shall be governed by § 238.15.
(f) Movement of trains with other defects. The movement of a train with a defect other than a power brake defect shall be conducted in accordance with § 238.17, with the following exceptions:
(1) The movement of a Tier II power car with a non-complying headlight shall be conducted in accordance with § 238.443(b) of this part; and
(2) When a failure of a secondary brake on a Tier II passenger train occurs en route, that train may remain in service until its next scheduled calendar day Class I brake test equivalent at a speed no greater than the maximum safe operating speed demonstrated through analysis and testing for braking with the friction brake alone. The brake system shall be restored to 100 percent operation before the train departs that inspection location.
(g) Maintenance intervals. The program under paragraph (a) of this section shall include the railroad's initial scheduled maintenance intervals for Tier II equipment based on an analysis completed pursuant to the railroad's safety plan. The maintenance interval of a safety-critical component shall be changed only when justified by accumulated, verifiable operating data and approved by FRA under § 238.505 before the change takes effect.
(h) Training, qualification, and designation program. The program under paragraph (a) of this section shall describe the training, qualification, and designation program, as defined in the training program plan under § 238.109, established by the railroad to qualify individuals to inspect, test, and maintain the equipment.
(1) If the railroad deems it safety-critical, then only qualified individuals shall inspect, test, and maintain the equipment.
(2) Knowledge of the procedures described in paragraph (a) of this section shall be required to qualify an employee or contractor to perform an inspection, testing, or maintenance task under this part.
(i) Standard procedures. The program under paragraph (a) of this section shall include the railroad's written standard procedures for performing all safety-critical equipment inspection, testing, maintenance, and repair tasks necessary to ensure the safe and proper operation of the equipment. The inspection, testing, and maintenance program required by this section is not intended to address and should not include procedures to address employee working conditions that arise in the course of conducting the inspections, tests, and maintenance set forth in the program. When reviewing the railroad's program, FRA does not intend to review any portion of the program that relates to employee working conditions.
(j) Annual review. The inspection, testing, and maintenance program required by this section shall be reviewed by the railroad annually.
(k) Quality control program. Each railroad shall establish an inspection, testing, and maintenance quality control program enforced by railroad or contractor supervisors to reasonably ensure that inspections, tests, and maintenance are performed in accordance with Federal safety standards and the procedures established by the railroad.
(l) Identification of safety-critical items. In the program under paragraph (a) of this section, the railroad shall identify all inspection and testing procedures and criteria as well as all maintenance intervals that the railroad deems to be safety-critical.
§ 238.505   Program approval procedure.
(a) Submission. Not less than 90 days prior to commencing passenger operations using Tier II passenger equipment, each railroad to which this subpart applies shall submit for approval an inspection, testing, and maintenance program for that equipment meeting the requirements of this subpart with the Associate Administrator for Safety, Federal Railroad Administration, 1200 New Jersey Avenue, SE., Mail Stop 25, Washington, DC 20590. If a railroad seeks to amend an approved program, the railroad shall file with FRA's Associate Administrator for Safety a petition for approval of such amendment not less than 60 days prior to the proposed effective date of the amendment. A program responsive to the requirements of this subpart or any amendment to the program shall not be implemented prior to FRA approval.
(1) Each program or amendment under § 238.503 shall contain:
(i) The information prescribed in § 238.503 for such program or amendment;
(ii) The name, title, address, and telephone number of the primary person to be contacted with regard to review of the program or amendment; and
(iii) A statement affirming that the railroad has served a copy of the program or amendment on designated representatives of railroad employees, together with a list of the names and addresses of persons served.
(2) Each railroad shall serve a copy of each submission to FRA on designated representatives of railroad employees responsible for the equipment's operation, inspection, testing, and maintenance under this subpart.
(b) Comment. Not later than 45 days from the date of filing the program or amendment, any person may comment on the program or amendment.
(1) Each comment shall set forth specifically the basis upon which it is made, and contain a concise statement of the interest of the commenter in the proceeding.
(2) Each comment shall be submitted to the Associate Administrator for Safety, Federal Railroad Administration, 1200 New Jersey Avenue, SE., Mail Stop 25, Washington, DC 20590.
(3) The commenter shall certify that a copy of the comment was served on the railroad.
(c) Approval. (1) Within 60 days of receipt of each initial inspection, testing, and maintenance program, FRA will conduct a formal review of the program. FRA will then notify the primary railroad contact person and the designated employee representatives in writing whether the inspection, testing, and maintenance program is approved and, if not approved, the specific points in which the program is deficient. If a program is not approved by FRA, the railroad shall amend its program to correct all deficiencies and resubmit its program with the required revisions not later than 45 days prior to commencing passenger operations.
(2) FRA will review each proposed amendment to the program within 45 days of receipt. FRA will then notify the primary railroad contact person and the designated employee representatives in writing whether the proposed amendment has been approved by FRA and, if not approved, the specific points in which the proposed amendment is deficient. The railroad shall correct any deficiencies and file the corrected amendment prior to implementing the amendment.
(3) Following initial approval of a program or amendment, FRA may reopen consideration of the program or amendment for cause stated.
§ 238.601   Scope.
This subpart contains specific safety planning requirements for the operation of Tier II passenger equipment, procurement of Tier II passenger equipment, and the introduction or major upgrade of new technology in existing Tier II passenger equipment that affects a safety system on such equipment.
§ 238.603   Safety planning requirements.
(a) Prior to commencing revenue service operation of Tier II passenger equipment, each railroad shall prepare and execute a written plan for the safe operation of such equipment. The plan may be combined with any other plan required under this part. The plan shall be updated at least every 365 days. At a minimum, the plan shall describe the approaches and processes to:
(1) Identify all requirements necessary for the safe operation of the equipment in its operating environment;
(2) Identify all known or potential hazards to the safe operation of the equipment;
(3) Eliminate or reduce the risk posed by each hazard identified to an acceptable level using a formal safety methodology such as MIL-STD-882; and
(4) Impose operational limitations, as necessary, on the operation of the equipment if the equipment cannot meet safety requirements.
(b) For the procurement of Tier II passenger equipment, and for each major upgrade or introduction of new technology in existing Tier II passenger equipment that affects a safety system on such equipment, each railroad shall prepare and execute a written safety plan. The plan may be combined with any other plan required under this part. The plan shall describe the approaches and processes to:
(1) Identify all safety requirements governing the design of the passenger equipment and its supporting systems;
(2) Evaluate the total system, including hardware, software, testing, and support activities, to identify known or potential safety hazards over the life cycle of the equipment;
(3) Identify safety issues during design reviews;
(4) Eliminate or reduce the risk posed by each hazard identified to an acceptable level using a formal safety methodology such as MIL-STD-882;
(5) Monitor the progress in resolving safety issues, reducing hazards, and meeting safety requirements;
(6) Develop a program of testing or analysis, or both, to demonstrate that safety requirements have been met; and
(7) Impose operational limitations, as necessary, on the operation of the equipment if the equipment cannot meet safety requirements.
(c) Each railroad shall maintain sufficient documentation to demonstrate how the operation and design of its Tier II passenger equipment complies with safety requirements or, as appropriate, addresses safety requirements under paragraphs (a)(4) and (b)(7) of this section. Each railroad shall maintain sufficient documentation to track how safety issues are raised and resolved.
(d) Each railroad shall make available to FRA for inspection and copying upon request each safety plan required by this section and any documentation required pursuant to such plan.
§ 238.701   Scope.
This subpart contains specific requirements for railroad passenger equipment operating in a shared right-of-way at speeds not exceeding 125 mph and in an exclusive right-of-way without grade crossings at speeds exceeding 125 mph but not exceeding 220 mph. Passenger seating is permitted in the leading unit of a Tier III trainset if the trainset complies with the crashworthiness and occupant protection requirements of this subpart, and the railroad has an approved right-of-way plan under § 213.361 of this chapter and an approved HSR-125 plan under § 236.1007(c) of this chapter. Demonstration of compliance with the requirements of this subpart is subject to FRA review and approval under § 238.111.
§ 238.702   Definitions.
As used in this subpart—
Cab means a compartment or space within a trainset that is designed to be occupied by an engineer and contain an operating console for exercising control over the trainset.
Integrated trainset means a passenger train in which all units of the trainset are designed to operate together to achieve the trainset's structural crashworthiness performance.
§ 238.703   Quasi-static compression load requirements.
(a) General. To demonstrate resistance to loss of occupied volume, Tier III trainsets shall comply with both the quasi-static compression load requirements in paragraph (b) of this section and the dynamic collision requirements in § 238.705.
(b) Quasi-static compression load requirements. (1) Each individual vehicle in a Tier III trainset shall resist a minimum quasi-static end load applied on the collision load path of:
(i) 800,000 pounds without permanent deformation of the occupied volume; or
(ii) 1,000,000 pounds without exceeding either of the following two conditions:
(A) Local plastic strains no greater than 5 percent; and
(B) Vehicle shortening no greater than 1 percent over any 15-foot length of the occupied volume; or
(iii) 1,200,000 pounds without crippling the body structure. Crippling of the body structure is defined as reaching the maximum point on the load-versus-displacement characteristic.
(2) To demonstrate compliance with this section, each type of vehicle shall be subjected to an end compression load (buff) test with an end load magnitude no less than 337,000 lbf (1500 kN).
(3) Compliance with the requirements of paragraph (b) of this section shall be documented and submitted to FRA for review and approval.
§ 238.705   Dynamic collision scenario.
(a) General. In addition to the requirements of § 238.703, occupied volume integrity (OVI) shall also be demonstrated for each individual vehicle in a Tier III trainset through an evaluation of a dynamic collision scenario in which a moving train impacts a standing train under the following conditions:
(1) The initially-moving trainset is made up of the equipment undergoing evaluation at its AW0 ready-to-run weight;
(2) If trainsets of varying consist lengths are intended for use in service, then the shortest and longest consist lengths shall be evaluated;
(3) If the initially-moving trainset is intended for use in push-pull service, then, as applicable, each configuration of leading vehicle shall be evaluated separately;
(4) The initially-standing train is led by a rigid locomotive and also made up of five identical passenger coaches having the following characteristics:
(i) The rigid locomotive weighs 260,000 pounds and each coach weighs 95,000 pounds;
(ii) The rigid locomotive and each passenger coach crush in response to applied force as specified in Table 1 to this section; and
(iii) The rigid locomotive shall be modeled using the data inputs listed in appendix H to this part so that it has a geometric design as depicted in Figure 1 to appendix H to this part;
(5) The scenario shall be evaluated on tangent, level track;
(6) The initially-moving trainset shall have an initial velocity of 20 mph if it is an integrated trainset, or an initial velocity of 25 mph if the lead vehicle of the trainset is not part of the integrated design;
(7) The coupler knuckles on the colliding equipment shall be closed and centered;
(8) The initially-moving trainset and initially-standing train consists are not braked;
(9) The initially-standing train has only one degree-of-freedom (longitudinal displacement); and
(10) The model used to demonstrate compliance with the dynamic collision requirements must be validated. Model validation shall be documented and submitted to FRA for review and approval.
(b) Dynamic collision requirements. As a result of the impact described in paragraph (a) of this section—
(1) One of the following two conditions must be met for the occupied volume of the initially-moving trainset:
(i) There shall be no more than 10 inches of longitudinal permanent deformation; or
(ii) Global vehicle shortening shall not exceed 1 percent over any 15-foot length of occupied volume.
(2) If Railway Group Standard GM/RT2100, Issue Four, “Requirements for Rail Vehicle Structures,” Rail Safety and Standards Board Ltd., December 2010, is used to demonstrate compliance with any of the requirements in §§ 238.733, 238.735, 238.737, or 238.743, then the average longitudinal deceleration of the center of gravity (CG) of each vehicle in the initially-moving trainset during the dynamic collision scenario shall not exceed 5g during any 100-millisecond (ms) time period. The maximum interval between data points so averaged in the 100-ms time period shall be no greater than 1-ms.
(3) Compliance with each of the following conditions shall also be demonstrated for the cab of the initially-moving trainset after the impact:
(i) For each seat provided for an employee in the cab, and any floor-mounted seat in the cab, a survival space shall be maintained where there is no intrusion for a minimum of 12 inches from each edge of the seat. Walls or other items originally within this defined space, not including the operating console, shall not further intrude more than 1.5 inches towards the seat under evaluation;
(ii) There shall be a clear exit path for the occupants of the cab;
(iii) The vertical height of the cab (floor to ceiling) shall not be reduced by more than 20 percent; and
(iv) The operating console shall not have moved more than 2 inches closer to the engineer's seat; if the engineer's seat is part of a set of adjacent seats, the requirements of this paragraph (b)(3) apply to both seats.
Table 1—Force-Versus-Crush Relationships for Passenger Coach and Conventional Locomotive
§ 238.707   Override protection.
(a) Colliding equipment. (1) Using the dynamic collision scenario described in § 238.705(a), anti-climbing performance shall be evaluated for each of the following sets of initial conditions:
(i) All vehicles in the initially-moving trainset and initially-standing train consists are positioned at their nominal running heights;
(ii) The lead vehicle of the initially-moving trainset shall be perturbed laterally and vertically upwards by 3 inches at the colliding interface; and
(iii) The lead vehicle of the initially-moving trainset shall be perturbed laterally and vertically downwards by 3 inches at the colliding interface.
(2) For each set of initial conditions specified in paragraph (a)(1) of this section, compliance with the following conditions shall be demonstrated after a dynamic impact:
(i) The relative difference in elevation between the underframes of the colliding equipment in the initially-moving trainset and initially-standing train consists shall not change by more than 4 inches; and
(ii) The tread of any wheel of the first vehicle of the initially-moving trainset shall not rise above the top of the rail by more than 4 inches
(b) Connected equipment override. (1) Using the dynamic collision scenario described in § 238.705(a), anti-climbing performance shall be evaluated for each of the following sets of initial conditions:
(i) All vehicles in the initially-moving trainset and initially-standing train consists are positioned at their nominal running heights;
(ii) One vehicle is perturbed laterally and vertically upwards by 2 inches, relative to the adjacent vehicle, at the first vehicle-to-vehicle interface in the initially-moving trainset; and,
(iii) One vehicle is perturbed laterally and vertically downwards by 2 inches, relative to the adjacent vehicle, at the first vehicle-to-vehicle interface in the initially-moving trainset.
(2) For each set of initial conditions specified in paragraph (b)(1) of this section, compliance with the following conditions shall be demonstrated after a dynamic impact:
(i) The relative difference in elevation between the underframes of the connected equipment in the initially-moving trainset shall not change by more than 4 inches; and
(ii) The tread of any wheel of the initially-moving trainset shall not rise above the top of rail by more than 4 inches.
§ 238.709   Fluid entry inhibition.
(a) The skin covering the forward-facing end of a Tier III trainset shall be—
(1) Equivalent to a 1/2 -inch steel plate with yield strength of 25,000 pounds per square inch. Material of higher yield strength may be used to decrease the required thickness of the material provided at least an equivalent level of strength is maintained. The sum of the thicknesses of elements ( e.g., skin and structural elements) from the structural leading edge of the trainset to a point, when projected onto a vertical plane, just forward of the engineer's normal operating position, may also be used to satisfy this requirement;
(2) Designed to inhibit the entry of fluids into the cab; and
(3) Affixed to the collision posts or other main structural members of the forward end structure so as to add to the strength of the end structure.
(b) Information used to demonstrate compliance with the requirements of this section shall at a minimum include a list and drawings of the structural elements considered in satisfying the thickness-strength requirement of this section, and calculations showing that the thickness-strength requirement is satisfied.
§ 238.711   End structure integrity of cab end.
The cab ends of Tier III trainsets shall comply with the requirements of appendix F to this part to demonstrate the integrity of the end structure. For those units of Tier III trainsets without identifiable corner or collision posts, the requirements of appendix F to this part apply to the end structure at each location specified, regardless of whether the structure is a post.
§ 238.713   End structure integrity of non-cab end.
(a) General. Tier III trainsets shall comply with the requirements in paragraphs (b) and (c) of this section to demonstrate the integrity of the end structure for other than the cab ends.
(b) Collision post requirements. (1) Each unit of a Tier III trainset shall have at each non-cab end of the unit either:
(i) Two full-height collision posts, located at approximately the one-third points laterally. Each collision post shall have an ultimate longitudinal shear strength of not less than 300,000 pounds at a point even with the top of the underframe member to which it is attached. If reinforcement is used to provide the shear value, the reinforcement shall have full value for a distance of 18 inches up from the underframe connection and then taper to a point approximately 30 inches above the underframe connection; or
(ii) An equivalent end structure that can withstand the sum of forces that each collision post in paragraph (b)(1)(i) of this section is required to withstand. For analysis purposes, the required forces may be assumed to be evenly distributed at the locations where the equivalent structure attaches to the underframe.
(2) Collision posts are not required for the non-cab ends of any unit with push-back couplers and interlocking anti-climbing mechanisms in a Tier III trainset, or the non-cab ends of a semi-permanently coupled consist of trainset units, if the inter-car connection is capable of preventing disengagement and telescoping to the same extent as equipment satisfying the anti-climbing and collision post requirements in subpart C of this part. For demonstrating that the inter-car connection is capable of preventing such disengagement (and telescoping), the criteria in § 238.707(b) apply.
(c) Corner post requirements. (1) Each passenger car in a Tier III trainset shall have at each non-cab end of the car, placed ahead of the occupied volume, two side structures capable of resisting a:
(i) 150,000-pound horizontal force applied at floor height without failure;
(ii) 20,000-pound horizontal force applied at roof height without failure; and
(iii) 30,000-pound horizontal force applied at a point 18 inches above the top of the floor without permanent deformation.
(2) For purposes of this paragraph (c), the orientation of the applied horizontal forces shall range from longitudinal inward to transverse inward.
(3) For each evaluation load, the load shall be applied to an area of the structure sufficient to not locally cripple or punch through the material.
(4) The load area shall be chosen to be appropriate for the particular car design and shall not exceed 10 inches by 10 inches.
§ 238.715   Roof and side structure integrity.
To demonstrate roof and side structure integrity, Tier III trainsets shall comply with the requirements in §§ 238.215 and 238.217.
§ 238.717   Truck-to-carbody attachment.
To demonstrate the integrity of truck-to-carbody attachments, each unit in a Tier III trainset shall:
(a) Comply with the requirements in § 238.219; or
(b) Have a truck-to-carbody attachment with strength sufficient to resist, without yielding, the following individually applied, quasi-static loads on the mass of the truck at its CG:
(1) 3g vertically downward;
(2) 1g laterally, along with the resulting vertical reaction to this load; and
(3) Except as provided in paragraph (c) of this section, 5g longitudinally, along with the resulting vertical reaction to this load, provided that for the conditions in the dynamic collision scenario described in § 238.705(a):
(i) The average longitudinal deceleration at the CG of the equipment during the impact does not exceed 5g; and
(ii) The peak longitudinal deceleration of the truck during the impact does not exceed 10g.
(c) As an alternative to demonstrating compliance with paragraph (b)(3) of this section, the truck shall be shown to remain attached after a dynamic impact under the conditions in the collision scenario described in § 238.705(a).
(d) For purposes of paragraph (b) of this section, the mass of the truck includes axles, wheels, bearings, truck-mounted brake system, suspension system components, and any other component attached to the truck by design.
(e) Truck attachment shall be demonstrated using a validated model.
§ 238.721   Glazing.
(a) Cab glazing; end-facing. (1) Each end-facing exterior window in a cab of a Tier III trainset shall comply with the requirements for Type I glazing in appendix A to part 223 of this chapter, except as provided in paragraphs (a)(2) through (4) of this section.
(2) Instead of the large object impact test specified in appendix A to part 223, each end-facing exterior window in a cab shall demonstrate compliance with the following requirements of this paragraph (a):
(i) The glazing article shall be impacted with a cylindrical projectile that complies with the following design specifications as depicted in Figure 1 to this subpart:
(A) The projectile shall be constructed of aluminum alloy such as ISO 6362-2:1990, grade 2017A, or its demonstrated equivalent;
(B) The projectile end cap shall be made of steel;
(C) The projectile assembly shall weigh 2.2 pounds (−0, +0.044 pounds) or 1 kilogram (kg) (−0, +0.020 kg) and shall have a hemispherical tip. Material may be removed from the interior of the aluminum portion to adjust the projectile mass according to the prescribed tolerance. The hemispherical tip shall have a milled surface with 0.04 inch (1 mm) grooves; and
(D) The projectile shall have an overall diameter of 3.7 inches (94 mm) with a nominal internal diameter of 2.76 inches (70 mm).
(ii) The test of the glazing article shall be deemed satisfactory if the test projectile does not penetrate the windscreen, the windscreen remains in its frame, and the witness plate is not marked by spall.
(iii) A new projectile shall be used for each test.
(iv) The glazing article to be tested shall be that which has the smallest area for each design type. For the test, the glazing article shall be fixed in a frame of the same construction as that mounted on the vehicle.
(v) A minimum of four tests shall be conducted and all must be deemed satisfactory. Two tests shall be conducted with the complete glazing article at 32 °F ± 9 °F (0 °C ± 5 °C) and two tests shall be conducted with the complete glazing article at 68 °F ± 9 °F (20 °C ± 5 °C). For the tests to be valid they shall demonstrate that the core temperature of the complete glazing article during each test is within the required temperature range.
(vi) The test glazing article shall be mounted at the same angle relative to the projectile path as it will be to the direction of travel when mounted on the vehicle.
(vii) The projectile's impact velocity shall equal the maximum operating speed of the Tier III trainset plus 100 mph (160 km/h). The projectile velocity shall be measured within 13 feet (4 m) of the point of impact.
(viii) The point of impact shall be at the geometrical center of the glazing article.
(3) Representative samples for large object impact testing of large Tier III end-facing cab glazing articles may be used instead of the actual design size, provided that the following conditions are met:
(i) Testing of glazing articles having dimensions greater than 39.4 by 27.6 inches (1,000 mm by 700 mm), excluding framing, may be performed using a flat sample having the same composition as the glazing article for which compliance is to be demonstrated. The glazing manufacturer shall provide documentation containing its technical justification that testing a flat sample is sufficient to verify compliance of the glazing article with the requirements of this paragraph (a).
(ii) Flat sample testing is permitted only when no surface of the full-size glazing article contains curvature with a radius less than 98 inches (2,500 mm), and when a complete, finished glazing article is laid (convex side uppermost) on a flat horizontal surface, the distance (measured perpendicularly to the flat surface) between the flat surface and the inside face of the glazing article is not greater than 8 inches (200 mm).
(4) End-facing glazing shall demonstrate sufficient resistance to spalling, as verified by the large impact projectile test under the following conditions:
(i) An annealed aluminum witness plate of maximum thickness 0.006 inch (0.15 mm) and of dimension 19.7 by 19.7 inches (500 mm by 500 mm) is placed vertically behind the sample under test, at a horizontal distance of 500 mm from the point of impact in the direction of travel of the projectile or the distance between the point of impact of the projectile and the location of the engineer's eyes in the engineer's normal operating position, whichever is less. The center of the witness plate is aligned with the point of impact.
(ii) Spalling performance shall be deemed satisfactory if the aluminum witness plate is not marked.
(iii) For the purposes of this subpart, materials used specifically to protect the cab occupants from spall ( i.e., spall shields) shall not be required to meet the flammability and smoke emission performance requirements of appendix B to this part.
(5) Each end-facing exterior window in a cab shall, at a minimum, provide ballistic penetration resistance that meets the requirements of appendix A to part 223.
(6) Each end-facing exterior window in a cab shall be permanently marked, before installation, in such a manner that the marking is clearly visible after the material has been installed. The marking shall include:
(i) The words “FRA TYPE IHS” to indicate that the material has successfully passed the testing requirements specified in this paragraph (a);
(ii) The name of the manufacturer; and
(iii) The type or brand identification of the material.
(b) Cab glazing; side-facing. Each side-facing exterior window in a cab of a Tier III trainset shall—
(1) Comply with the requirements for Type II glazing contained in appendix A to part 223 of this chapter, for large-object impact; and
(2) Maintain the minimum ballistics penetration resistance as required for end-facing glazing in paragraph (a)(5) of this section.
(c) Non-cab glazing; side-facing. (1) Except as provided in paragraph (c)(2) of this section, each side-facing exterior window in other than a cab shall comply with the requirements for Type II glazing contained in appendix A to part 223 of this chapter.
(2) Instead of the requirements specified in paragraph (c)(1) of this section, a side-facing exterior window intended to be breakable and serve as an emergency window exit may comply with an alternative standard that provides an equivalent level of safety and is approved for use by FRA.
(d) Glazing securement. Each exterior window shall remain in place when subjected to:
(1) The forces due to air pressure differences caused when two trains pass at the minimum separation for two adjacent tracks, while traveling in opposite directions, each train traveling at the maximum authorized speed; and
(2) The impact forces that the exterior window is required to resist as specified in this section.
(e) Glazing certification. (1) Each manufacturer that provides glazing materials, intended by the manufacturer for use in achieving compliance with the requirements of this section, shall certify that each type of glazing material being supplied for this purpose has been successfully tested. Tests performed on glazing materials for demonstration of compliance with this section, relied on by the glazing manufacturer in furtherance of certification, may be performed by either:
(i) An independent third-party (laboratory, facility, underwriter); or
(ii) The glazing manufacturer, by providing FRA the opportunity to witness all tests by written notice at least 30 days prior to testing.
(2) Any glazing material certified to meet the requirements of this section shall be re-certified by the same means (as originally certified) if any changes are made to the glazing that may affect its mechanical properties or its mounting arrangement on the vehicle.
(3) All certification/re-certification documentation shall be made available to FRA upon request.
§ 238.731   Brake system.
(a) General. Each railroad shall demonstrate through analysis and testing the maximum safe operating speed for its Tier III trainsets that results in no thermal damage to equipment or infrastructure during normal operation of the brake system.
(b) Minimum performance requirement for brake system. Each Tier III trainset's brake system shall be capable of stopping the trainset from its maximum operating speed within the signal spacing existing on the track over which the trainset is operating under the worst-case adhesion conditions defined by the railroad, as approved by FRA.
(c) Emergency brake system. A Tier III trainset shall be provided with an emergency brake application feature that produces an irretrievable stop. An emergency brake application shall be available at any time, and shall be initiated by either of the following:
(1) An unintentional parting of the trainset; or
(2) The train crew at locations within the trainset specified by the railroad, as approved by FRA.
(d) Passenger brake alarm. (1) A means to initiate a passenger brake alarm shall be provided at two locations in each unit of a Tier III trainset that is over 45 feet in length. When a unit of the trainset is 45 feet or less in length, a means to initiate a passenger brake alarm need only be provided at one location in the unit. These locations shall be identified by the railroad as approved by FRA. The words “Passenger Brake Alarm” shall be legibly stenciled or marked on each device or on an adjacent badge plate.
(2) All passenger brake alarms shall be installed so as to prevent accidental activation.
(3) During departure from the boarding platform, activation of the passenger brake alarm shall result in an emergency brake application.
(4) A passenger brake alarm activation that occurs after the trainset has safely cleared the boarding platform shall be acknowledged by the engineer within the time period specified by the railroad, as approved by FRA, for train operation to remain under the full control of the engineer. The method used to confirm that the trainset has safely cleared the boarding platform shall be defined by the railroad as approved by FRA.
(5) If the engineer does not acknowledge the passenger brake alarm as specified in paragraph (d)(4) of this section, at a minimum, a retrievable full service brake application shall be automatically initiated until the trainset has stopped unless the engineer intervenes as described in paragraph (d)(6) of this section.
(6) To retrieve the full service brake application described in paragraph (d)(5) of this section, the engineer must acknowledge the passenger brake alarm and activate appropriate controls to issue a command for brake application as specified by the railroad, as approved by FRA.
(e) Degraded performance of blended brake system. The following requirements of this paragraph (e) apply to operation of Tier III trainsets with blended braking systems, to address degraded brake system performance:
(1) Loss of power or failure of the dynamic or regenerative brake shall not result in exceeding the allowable stopping distance defined by the railroad as approved by FRA;
(2) The available friction braking shall be adequate to stop the trainset safely under the operating conditions defined by the railroad, as approved by FRA;
(3) The operational status of the trainset brake system shall be displayed for the engineer in the operating cab; and
(4) The railroad shall demonstrate through analysis and testing the maximum speed for safely operating its Tier III trainsets using only the friction brake portion of the blended brake with no thermal damage to equipment or infrastructure. The analysis and testing shall also be used to determine the maximum safe operating speed for various percentages of operative friction brakes and shall be included in the railroad's ITM program.
(f) Main reservoir system. (1) The main reservoirs in a Tier III trainset shall be designed and tested to meet the requirements of a recognized standard specified by the railroad as approved by FRA, such as the American Society of Mechanical Engineers (ASME) Boiler and Pressure Vessel Code for Unfired Pressure Vessel Section VIII, Division I (ASME Code). The working pressure shall be 150 psig (10.3 bar) and the corresponding rated temperature shall be 150 °F (65 °C) unless otherwise defined by the railroad as approved by FRA. Reservoirs shall be certified based on their size and volume requirements.
(2) Each welded steel main reservoir shall be drilled in accordance with the requirements of a recognized standard specified by the railroad as approved by FRA, such as paragraph UG-25(e) of Section VIII of the ASME Boiler and Pressure Vessel Code. With the drain opening located at the low point of the reservoir, one row of holes shall be drilled lengthwise on the reservoir on a line intersecting the drain opening and sloped to the drain opening.
(3) A breach of a welded steel main reservoir at any of the drilled holes described in paragraph (f)(2) of this section shall be cause for the reservoir to be condemned and withdrawn from service. Any type of welded repair to a steel main reservoir is prohibited.
(g) Aluminum main reservoirs. (1) Aluminum main reservoirs used in a Tier III trainset shall conform to the requirements of § 229.51 of this chapter.
(2) Any type of welded repair to an aluminum main reservoir is prohibited.
(h) Main reservoir tests. Prior to initial installation, each main reservoir shall be subjected to a pneumatic or hydrostatic pressure test based on the maximum working pressure defined in paragraph (f) or (g) of this section, as appropriate, unless otherwise established by the railroad's ITM program. Records of the test date, location, and pressure shall be maintained by the railroad for the life of the equipment. Periodic inspection requirements for main reservoirs shall be defined in the railroad's ITM program.
(i) Brake gauges. All mechanical gauges and all devices providing electronic indication of air pressure that are used by the engineer to aid in the control or braking of a Tier III trainset shall be located so they may be conveniently read from the engineer's normal position during operation of the trainset.
(j) Brake application/release. (1) Brake actuators shall be designed to provide brake pad and shoe clearance when the brakes are released.
(2) The minimum brake cylinder pressure shall be established by the railroad, as approved by FRA, to provide adequate adjustment from minimum service to full service for proper train operation.
(k) Foundation brake gear. The railroad shall specify requirements in its ITM program for the inspection, testing, and maintenance of the foundation brake gear.
(l) Leakage. (1) If a Tier III trainset is equipped with a brake pipe, the leakage rates shall not exceed the limits defined in either paragraph (l)(2) of this section, or those defined in the Air Consumption Analysis included in the railroad ITM program, whichever is more restrictive. The method of inspection for main reservoir pipe leakage shall be prescribed in the railroad's ITM program.
(2) Brake pipe leakage may not exceed 5 p.s.i. per minute; and with a full service application at maximum brake pipe pressure and with communication to the brake cylinders closed, the brakes shall remain applied for at least 5 minutes.
(m) Slide protection and alarm. (1) A Tier III trainset shall be equipped with an adhesion control system designed to automatically adjust the braking force on each wheel to prevent sliding during braking.
(2) A wheel-slide alarm that is visual or audible, or both, shall alert the engineer in the operating cab to wheel-slide conditions on any axle of the trainset.
(3) The railroad shall specify operating restrictions for trainsets with slide protection devices for when they fail to prevent wheel slide within safety parameters preset by the railroad. Both the operating restrictions and safety parameters shall be approved by FRA.
(n) Monitoring and diagnostics. Each Tier III trainset shall be equipped with a monitoring and diagnostic system that is designed to automatically assess the functionality of the brake system for the entire trainset. Details of the system operation and the method of communication of brake system functionality prior to the departure of the trainset and while en route shall be described in detail in the railroad's ITM program.
(o) Train securement. Independent of the pneumatic brakes, Tier III equipment shall be equipped with a means of securing the equipment against unintentional movement when left standing and unmanned in such a manner that the brake system of the equipment cannot be readily controlled by a qualified person. The railroad shall develop the procedures used to secure the equipment and shall also demonstrate that those procedures effectively secure the equipment on all grade conditions identified by the railroad, as approved by FRA.
(p) Rescue operation; brake system. A Tier III trainset's brake system shall be designed to allow a rescue vehicle or trainset to control its brakes when the trainset is disabled.
§ 238.733   Interior fixture attachment.
(a) Tier III trainsets shall comply with the interior fixture attachment strength requirements referenced in either of the following paragraphs:
(1) Section 238.233 and APTA PR-CS-S-006-98; or
(2) Section 6.1.4, “Security of furniture, equipment and features,” of GM/RT2100, provided that—
(i) The conditions of § 238.705(b)(2) are met;
(ii) Interior fixture attachment strength is sufficient to resist without failure individually applied loads of 5g longitudinal, 3g lateral, and 3g vertical when applied to the mass of the fixture; and
(iii) Use of the standard is carried out under any conditions identified by the railroad, as approved by FRA.
(b) The standards required in this section are incorporated by reference into this section with the approval of the Director of the Federal Register under 5 U.S.C. 552(a) and 1 CFR part 51. All approved material is available for inspection at Federal Railroad Administration, Docket Clerk, 1200 New Jersey Avenue SE, Washington, DC and is available from the sources indicated below. It is also available for inspection at the National Archives and Records Administration (NARA). For information on the availability of this material at NARA, call 202-741-6030 or go to www.archives.gov/federal-register/cfr/ibr-locations.html .
(1) American Public Transportation Association, 1666 K Street NW, Washington, DC 20006, www.aptastandards.com .
(i) APTA PR-CS-S-006-98, Rev. 1, “Standard for Attachment Strength of Interior Fittings for Passenger Railroad Equipment,” Authorized September 28, 2005.
(ii) [Reserved]
(2) Rail Safety and Standards Board Ltd., Communications, RSSB, Block 2 Angel Square, 1 Torrens Street, London, England EC1V 1NY, www.rgsonline.co.uk .
(i) Railway Group Standard GM/RT2100, Issue Four, “Requirements for Rail Vehicle Structures,” December 2010.
(ii) [Reserved]
§ 238.735   Seat crashworthiness (passenger and cab crew).
(a) Passenger seating in Tier III trainsets shall comply with the requirements referenced in either of the following paragraphs:
(1) Section 238.233 and APTA PR-CS-S-016-99 excluding Section 6, “Seat durability testing;” or
(2) Section 6.2, “Seats for passengers, personnel, or train crew,” of GM/RT2100, provided that—
(i) The conditions of § 238.705(b)(2) are met;
(ii) Seat attachment strength is sufficient to resist without failure individually applied loads of 5g longitudinal, 3g lateral, and 3g applied to the mass of the seat; and
(iii) Use of the standard is carried out under any conditions identified by the railroad, as approved by FRA.
(b) Each seat provided for an employee in the cab of a Tier III trainset, and any floor-mounted seat in the cab, shall comply with § 238.233(e), (f), and (g).
(c) The standards required in this section are incorporated by reference into this section with the approval of the Director of the Federal Register under 5 U.S.C. 552(a) and 1 CFR part 51. All approved material is available for inspection at Federal Railroad Administration, Docket Clerk, 1200 New Jersey Avenue SE, Washington, DC and are available from the sources indicated below. They are also available for inspection at NARA. For information on the availability of this material at NARA, call 202-741-6030 or go to www.archives.gov/federal-register/cfr/ibr-locations.html .
(1) American Public Transportation Association, 1666 K Street NW, Washington, DC 20006, www.aptastandards.com .
(i) APTA PR-CS-S-016-99, Rev. 2, “Standard for Passenger Seats in Passenger Rail Cars,” Authorized October 3, 2010.
(ii) [Reserved]
(2) Rail Safety and Standards Board Ltd., Communications, RSSB, Block 2 Angel Square, 1 Torrens Street, London, England EC1V 1NY, www.rgsonline.co.uk .
(i) Railway Group Standard GM/RT2100, Issue Four, “Requirements for Rail Vehicle Structures,” December 2010.
(ii) [Reserved]
§ 238.737   Luggage racks.
(a) Overhead storage racks shall provide longitudinal and lateral restraint for stowed articles. These racks shall incorporate transverse dividers at a maximum spacing of 10 ft. (3 m) to restrain the longitudinal movement of luggage. To restrain the lateral movement of luggage, these racks shall also slope downward in the outboard direction at a minimum ratio of 1:8 with respect to a horizontal plane.
(b) Luggage racks shall comply with the requirements in either of the following paragraphs:
(1) Section 238.233; or
(2) Section 6.8, “Luggage stowage,” of GM/RT2100, provided that—
(i) The conditions of § 238.705(b)(2) are met;
(ii) Attachment strength is sufficient to resist without failure individually applied loads of 5g longitudinal, 3g lateral, and 3g vertical; and
(iii) Use of the standard is carried out under any conditions identified by the railroad, as approved by FRA. In particular, the railroad shall determine the maximum allowable weight of the luggage stowed for purposes of evaluating luggage rack attachment strength.
(c) Railway Group Standard GM/RT2100, Issue Four, “Requirements for Rail Vehicle Structures,” December 2010 is incorporated by reference into this section with the approval of the Director of the Federal Register under 5 U.S.C. 552(a) and 1 CFR part 51. All approved material is available for inspection at Federal Railroad Administration, Docket Clerk, 1200 New Jersey Avenue SE, Washington, DC and is available from Rail Safety and Standards Board Ltd., Communications, RSSB, Block 2 Angel Square, 1 Torrens Street, London, England EC1V 1NY, www.rgsonline.co.uk . It is also available for inspection at NARA. For information on the availability of this material at NARA, call 202-741-6030 or go to www.archives.gov/federal-register/cfr/ibr-locations.html .
§ 238.741   Emergency window egress and rescue access.
(a) Emergency window egress and rescue access plan. If a passenger car in a Tier III trainset is not designed to comply with the requirements in § 238.113 or § 238.114, the railroad shall submit to FRA for approval an emergency window egress and rescue access plan during the design review stage. The plan must include, but is not limited to, the elements in this section.
(b) Ease of operability. If an emergency window exit in a passenger car requires the use of a tool, other implement ( e.g., hammer), or a mechanism to permit removal of the window panel from the inside of the car during an emergency situation, then the plan must demonstrate the use of the device provides a level of safety equivalent to that required by § 238.113(b). In particular, the plan must address the location, design, and signage and instructions for the device. The railroad shall also include a provision in its Tier III ITM program to inspect for the presence of the device at least each day the car is in service.
(c) Dimensions. If the dimensions of a window opening in a passenger car do not comply with the requirements in § 238.113 or § 238.114, then the plan must demonstrate that at least an equivalent level of safety is provided.
(d) Alternative emergency evacuation openings. If a passenger car employs the use of emergency egress panels or additional door exits instead of emergency window exits or rescue access windows, then the plan must demonstrate that such alternative emergency evacuation openings provide a level of safety at least equivalent to that required by § 238.113 or § 238.114, or both as appropriate. The plan must address the location, design, and signage and instructions for the alternative emergency evacuation openings.
§ 238.743   Emergency lighting.
(a) Except as provided in paragraph (b) of this section, Tier III trainsets shall comply with the emergency lighting requirements specified in § 238.115.
(b) Emergency lighting back-up power systems shall, at a minimum, be capable of operating after experiencing the individually applied accelerations defined in either of the following paragraphs:
(1) Section 238.115(a)(4)(ii); or
(2) Section 6.1.4, “Security of furniture, equipment and features,” of GM/RT2100, provided that—
(i) The conditions of § 238.705(b)(2) are met;
(ii) The initial shock of a collision or derailment is based on a minimum load of 5g longitudinal, 3g lateral, and 3g vertical; and
(iii) Use of the standard is carried out under any conditions identified by the railroad, as approved by FRA.
(c) Railway Group Standard GM/RT2100, Issue Four, “Requirements for Rail Vehicle Structures,” December 2010, is incorporated by reference into this section with the approval of the Director of the Federal Register under 5 U.S.C. 552(a) and 1 CFR part 51. All approved material is available for inspection at Federal Railroad Administration, Docket Clerk, 1200 New Jersey Avenue SE, Washington, DC and is available from Rail Safety and Standards Board Ltd., Communications, RSSB, Block 2 Angel Square, 1 Torrens Street, London, England EC1V 1NY, www.rgsonline.co.uk . It is also available for inspection at NARA. For information on the availability of this material at NARA, call 202-741-6030 or go to www.archives.gov/federal-register/cfr/ibr-locations.html .
§ 238.751   Alerters.
(a) An alerter shall be provided in the operating cab of each Tier III trainset, unless in accordance with paragraph (e) of this section the trainset operates in a territory where an alternate technology providing equivalent safety is installed, such as redundant automatic train control or redundant automatic train stop system.
(b) Upon initiation of the alerter, the engineer must acknowledge the alerter within the time period and according to the parameters specified by the railroad, as approved by FRA, in order for train operations to remain under the full control of the engineer.
(c) If the engineer does not acknowledge the alerter as specified in paragraph (b) of this section, at a minimum a retrievable full service brake application shall occur until the train has stopped, unless the crew intervenes as described in paragraph (d) of this section.
(d) To retrieve the full service brake application described in paragraph (c) of this section, the engineer must acknowledge the alerter and activate appropriate controls to issue a command for brake application as specified by the railroad and approved by FRA.
(e) If an alternate technology to the alerter is used, the railroad shall conduct an analysis that confirms the ability of the technology to provide an equivalent level of safety. This analysis shall be approved by FRA.
§ 238.753   Sanders.
(a) A Tier III trainset shall be equipped with operative sanders, if required by the railroad and as approved by FRA.
(b) Sanders required under this section shall comply with § 229.131(a), (b), and (d) of this chapter, except that instead of the requirements of §§ 229.9 and 229.23 of this chapter:
(1) The requirements of § 238.17 shall apply to the tagging and movement of a Tier III trainset with defective sanders; and
(2) The requirements of the railroad's ITM program shall apply to the next periodic inspection of such a trainset.
(c) In addition to the requirements in paragraph (b) of this section, the railroad's ITM program shall specify the inspection, testing, and maintenance requirements for Tier III trainsets equipped with sanders.